person · Reporting owner

ASHER DANIEL

Disclosed activity across 6 companies

Tapewire entity: 65400
SEC CIK: 0001251859

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
Angel Oak Financial Strategies Income Term Trustfins · Entity 5597	10% owner	February 11, 2021	February 12, 2021
BRC Group Holdings, Inc.RILY · Entity 6050	10% owner	May 20, 2022	May 27, 2022
ChronoScale Holdings CorpEKSO · Entity 4331	10% owner	February 19, 2026	February 20, 2026
NATIONAL HOLDINGS CORPNHLD · Entity 142239	10% owner	December 24, 2020	December 29, 2020
SEQUANS COMMUNICATIONSSQNS · Entity 7292	10% owner	January 26, 2026	January 28, 2026
Vivaldi Opportunities FundVAM · Entity 148386	10% owner	June 21, 2019	June 17, 2020

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.

Angel Oak Financial Strategies Income Term Trust

Report date February 11, 2021 · Filed February 12, 2021

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectbyAFOB FIP MS, LLC	1,029,454	Reported balance After 2021-02-11 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2021-02-11 · Sale · Disposed 50,000 · Balance 1,029,454 F1: AFO Blackberry, LLC is the managing member of AFOB FIP MS, LLC and Daniel Asher is deemed to control AFOB Blackberry, LLC. Mr Asher disclaims beneficial interest in the shares held by AFOB FIP MS, LLC except to the extent of any pecuniary interest therein.
Common StockSEC Table I · non-derivative	Indirectby Sphinx Trading	17,693	Reported balance Holding disclosure · report date 2021-02-11 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 17,693 F2: Oakmont investments, LLC is the General partner of Sphinx Trading, LP and Daniel Asher is deemed to control Oakmont Investments. Mr Asher disclaims beneficial interest in the shares held by Sphinx Trading, LP except to the extent of any pecuniary therein.
Common StockSEC Table I · non-derivative	Indirectby Castle Creek	458,256	Reported balance Holding disclosure · report date 2021-02-11 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 458,256 F3: Mr Asher is the principal of the general partner of Castle Creek Fund, LP and a limited partner in the fund. Mr Asher disclaims beneficial interest in the shares held by the fund except to the extent of any pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: AFO Blackberry, LLC is the managing member of AFOB FIP MS, LLC and Daniel Asher is deemed to control AFOB Blackberry, LLC. Mr Asher disclaims beneficial interest in the shares held by AFOB FIP MS, LLC except to the extent of any pecuniary interest therein.

F2: Oakmont investments, LLC is the General partner of Sphinx Trading, LP and Daniel Asher is deemed to control Oakmont Investments. Mr Asher disclaims beneficial interest in the shares held by Sphinx Trading, LP except to the extent of any pecuniary therein.

F3: Mr Asher is the principal of the general partner of Castle Creek Fund, LP and a limited partner in the fund. Mr Asher disclaims beneficial interest in the shares held by the fund except to the extent of any pecuniary interest therein.

BRC Group Holdings, Inc.

Report date May 20, 2022 · Filed May 27, 2022 · Amendment

Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Indirectthru Sphinx Trading	1,369,693	Reported balance After 2022-05-20 transaction · row 1 Amendment: may correct only part of an earlier disclosure. 1 source row Row 1 · 2022-05-20 · Other · Disposed 1,100 · Balance 1,369,693 F3: This amendment is being made to correct the item 3 transaction code from S to X for the items set forth in table 1. These transactions were assignments on short call positions that were entered by Daniel Asher prior to the May, 13, 2022. In addition the price of the disposal (d) in item4 with respect to the 1,700 assigned shares held through Equitec Proprietary Markets has been corrected to $45
Common StockSEC Table I · non-derivative	Indirectthru Equitec Proprietary Markers, LLC	1,245,293	Last balance in matching sequence After 2022-05-20 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 2 source rows Row 2 · 2022-05-20 · Other · Disposed 122,700 · Balance 1,246,993 F3: This amendment is being made to correct the item 3 transaction code from S to X for the items set forth in table 1. These transactions were assignments on short call positions that were entered by Daniel Asher prior to the May, 13, 2022. In addition the price of the disposal (d) in item4 with respect to the 1,700 assigned shares held through Equitec Proprietary Markets has been corrected to $45 F1: the reporting person controls 50% of the membership interest in Equitec Proprietary Markets, LLC Row 3 · 2022-05-20 · Other · Disposed 1,700 · Balance 1,245,293 F3: This amendment is being made to correct the item 3 transaction code from S to X for the items set forth in table 1. These transactions were assignments on short call positions that were entered by Daniel Asher prior to the May, 13, 2022. In addition the price of the disposal (d) in item4 with respect to the 1,700 assigned shares held through Equitec Proprietary Markets has been corrected to $45 F1: the reporting person controls 50% of the membership interest in Equitec Proprietary Markets, LLC
Common StockSEC Table I · non-derivative	IndirectThru AFOB FIP RILY, LLC	730,800	Reported balance Holding disclosure · report date 2022-05-20 · row 4 Amendment: may correct only part of an earlier disclosure. 1 source row Row 4 · Balance 730,800 F4: This amendment also corrects the amount of securities beneficially owned (Item 5) through AFOB FIP RILY, LLC. F2: AFO Blackberry, LLC is the managing member of AFOB FIP RILY, LLC and Daniel Asher is deemed to control AFO Blackberry, LLC

Filing footnotes · ownership attribution and instrument terms

F1: the reporting person controls 50% of the membership interest in Equitec Proprietary Markets, LLC

F2: AFO Blackberry, LLC is the managing member of AFOB FIP RILY, LLC and Daniel Asher is deemed to control AFO Blackberry, LLC

F3: This amendment is being made to correct the item 3 transaction code from S to X for the items set forth in table 1. These transactions were assignments on short call positions that were entered by Daniel Asher prior to the May, 13, 2022. In addition the price of the disposal (d) in item4 with respect to the 1,700 assigned shares held through Equitec Proprietary Markets has been corrected to $45

F4: This amendment also corrects the amount of securities beneficially owned (Item 5) through AFOB FIP RILY, LLC.

ChronoScale Holdings Corp

Report date February 19, 2026 · Filed February 20, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Indirectby DBA Trading, LLC	270,432	Reported balance After 2026-02-19 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2026-02-19 · Purchase · Acquired 15,540 · Balance 270,432 F1: Daniel Asher is the beneficial owner of DBA Trading, LLC and deemed to control share voting and dispositive power over the shares held by them.
Common StockSEC Table I · non-derivative	Direct	165,000	Reported balance Holding disclosure · report date 2026-02-19 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 165,000
Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $8.22	IndirectBy Daniel Asher Descendants Trust	2,926	Reported balance Holding disclosure · report date 2026-02-19 · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · Balance 2,926 F3: None F2: Daniel Asher is the grantor of Daniel Asher Descendants Trust and deemed to control share voting and dispositive power over the shares held by them.

Filing footnotes · ownership attribution and instrument terms

F1: Daniel Asher is the beneficial owner of DBA Trading, LLC and deemed to control share voting and dispositive power over the shares held by them.

F2: Daniel Asher is the grantor of Daniel Asher Descendants Trust and deemed to control share voting and dispositive power over the shares held by them.

F3: None

NATIONAL HOLDINGS CORP

Report date December 24, 2020 · Filed December 29, 2020

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectThru Equitec Proprietary Markets, LLC	1,729,809	Last balance in matching sequence After 2020-12-29 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 3 source rows Row 1 · 2020-12-24 · Purchase · Acquired 5,400 · Balance 1,716,751 F1: The reporting person controls 50% of the of the membership interest in Equitec Proprietary Markets LLc Row 2 · 2020-12-28 · Purchase · Acquired 12,837 · Balance 1,729,588 F1: The reporting person controls 50% of the of the membership interest in Equitec Proprietary Markets LLc Row 3 · 2020-12-29 · Purchase · Acquired 221 · Balance 1,729,809 F1: The reporting person controls 50% of the of the membership interest in Equitec Proprietary Markets LLc
Common StockSEC Table I · non-derivative	IndirectThru Sphinx Trading, LP	1,298,032	Reported balance Holding disclosure · report date 2020-12-24 · row 4 Holding and transaction disclosures are not merged. 1 source row Row 4 · Balance 1,298,032 F2: The reporting person is a member and president of Oakmont Investments, LLC and a general partner of Sphinx Trading, L.P.

Filing footnotes · ownership attribution and instrument terms

F1: The reporting person controls 50% of the of the membership interest in Equitec Proprietary Markets LLc

F2: The reporting person is a member and president of Oakmont Investments, LLC and a general partner of Sphinx Trading, L.P.

SEQUANS COMMUNICATIONS

Report date January 26, 2026 · Filed January 28, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Indirectby DBA Trading, LLC	140,011,100	Reported balance After 2026-01-26 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2026-01-26 · Purchase · Acquired 12,300 · Balance 140,011,100 F1: Daniel Asher is the beneficial owner of DBA Trading, LLC and is deemed to control share voting and dispositive power over the shares held by them.
Common StockSEC Table I · non-derivative	IndirectBy AFOB FIP MS, LLC	51,344,400	Reported balance Holding disclosure · report date 2026-01-26 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 51,344,400 F2: AFO Blackberry, LLC is the managing member of AFOB FIP MS, LLC and Danien Asher is deemed to control share voting and dispositive power over the shares held by them.

Filing footnotes · ownership attribution and instrument terms

F1: Daniel Asher is the beneficial owner of DBA Trading, LLC and is deemed to control share voting and dispositive power over the shares held by them.

F2: AFO Blackberry, LLC is the managing member of AFOB FIP MS, LLC and Danien Asher is deemed to control share voting and dispositive power over the shares held by them.

Vivaldi Opportunities Fund

Report date June 21, 2019 · Filed June 17, 2020 · Amendment

Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Sphinx Trading LP	28,210	Reported balance After 2019-06-21 transaction · row 1 Amendment: may correct only part of an earlier disclosure. 1 source row Row 1 · 2019-06-21 · Sale · Disposed 1,580 · Balance 28,210 F1: Oakmont Investments, LLC is the general partner of Sphinx Trading LP, and Daniel Asher is deemed to control Oakmont Investments. Mr. Asher disclaims beneficial interest in the shares held by Sphinx Trading LP except to the extent of any pecuniary interest therein.
Common StockSEC Table I · non-derivative	IndirectBy AFOB FIP MS , LLC	1,663,355	Reported balance Holding disclosure · report date 2019-06-21 · row 2 Amendment: may correct only part of an earlier disclosure. 1 source row Row 2 · Balance 1,663,355 F2: AFO Blackberry LLC is the managing member of AFOB FIP MS, LLC, and Daniel Asher is deemed to control AFO Blackberry LLC. Mr. Asher disclaims beneficial interest in the shares held by AFOB FIP MS, LLC except to the extent of any pecuniary interest therein.
Common StockSEC Table I · non-derivative	IndirectBy Castle Creek Fund, LP	708,267	Reported balance Holding disclosure · report date 2019-06-21 · row 3 Amendment: may correct only part of an earlier disclosure. 1 source row Row 3 · Balance 708,267 F3: Mr. Asher is the principal of the general partner of Castle Creek Fund, LP, and a limited partner in the Fund. Mr. Asher disclaims beneficial interest in shares held by the Fund except to the extent of any pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Oakmont Investments, LLC is the general partner of Sphinx Trading LP, and Daniel Asher is deemed to control Oakmont Investments. Mr. Asher disclaims beneficial interest in the shares held by Sphinx Trading LP except to the extent of any pecuniary interest therein.

F2: AFO Blackberry LLC is the managing member of AFOB FIP MS, LLC, and Daniel Asher is deemed to control AFO Blackberry LLC. Mr. Asher disclaims beneficial interest in the shares held by AFOB FIP MS, LLC except to the extent of any pecuniary interest therein.

F3: Mr. Asher is the principal of the general partner of Castle Creek Fund, LP, and a limited partner in the Fund. Mr. Asher disclaims beneficial interest in shares held by the Fund except to the extent of any 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
December 20, 2018 Filed Dec 26, 2018 11:17 UTC	Vivaldi Opportunities Fund VAM · Entity 148386	SaleCommon Stock	1,441	$14.46	$20,832.54	Disclosure SEC source: 0001251859-18-000017 · primary_doc.xml · nonDerivative · entry 2 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Daniel Asher Revocable Trust Disclosed balance after: 266,051.412 F1 · ownership.nature: Mr. Asher is the grantor and trustee of the Daniel Asher Revocable Trust, and the beneficiaries are Mr. Asher, his wife and his descendants. Read SEC document
December 20, 2018 Filed Dec 26, 2018 11:17 UTC	Vivaldi Opportunities Fund VAM · Entity 148386	SaleCommon Stock	200	$14.30	$2,860.00	Disclosure SEC source: 0001251859-18-000017 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Daniel Asher Revocable Trust Disclosed balance after: 267,492.412 F1 · ownership.nature: Mr. Asher is the grantor and trustee of the Daniel Asher Revocable Trust, and the beneficiaries are Mr. Asher, his wife and his descendants. Read SEC document
December 18, 2018 Filed Dec 19, 2018 17:11 UTC	Vivaldi Opportunities Fund VAM · Entity 148386	SaleCommon Stock	100	$14.40	$1,440.00	Disclosure SEC source: 0001251859-18-000016 · primary_doc.xml · nonDerivative · entry 2 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Daniel Asher Revocable Trust Disclosed balance after: 267,692.412 F1 · ownership.nature: Mr. Asher is the grantor and trustee of the Daniel Asher Revocable Trust, and the beneficiaries are Mr. Asher, his wife and his descendants. Read SEC document
December 17, 2018 Filed Dec 19, 2018 17:11 UTC	Vivaldi Opportunities Fund VAM · Entity 148386	SaleCommon Stock	700	$14.28	$9,995.02	Disclosure SEC source: 0001251859-18-000016 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Daniel Asher Revocable Trust Disclosed balance after: 267,792.412 F1 · ownership.nature: Mr. Asher is the grantor and trustee of the Daniel Asher Revocable Trust, and the beneficiaries are Mr. Asher, his wife and his descendants. Read SEC document
December 13, 2018 Filed Dec 14, 2018 17:02 UTC	Vivaldi Opportunities Fund VAM · Entity 148386	SaleCommon Stock	200	$14.55	$2,910.00	Disclosure SEC source: 0001251859-18-000015 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Daniel Asher Revocable Trust Disclosed balance after: 568,492.412 F1 · ownership.nature: Mr. Asher is the grantor and trustee of the Daniel Asher Revocable Trust, and the beneficiaries are Mr. Asher, his wife and his descendants. Read SEC document
November 28, 2018 Filed Dec 4, 2018 15:20 UTC	Vivaldi Opportunities Fund VAM · Entity 148386	SaleCommon Stock	100	$14.70	$1,470.00	Disclosure SEC source: 0001251859-18-000014 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Daniel Asher Revocable Trust Disclosed balance after: 568,692.412 F1 · ownership.nature: Mr. Asher is the grantor and trustee of the Daniel Asher Revocable Trust, and the beneficiaries are Mr. Asher, his wife and his descendants. Read SEC document
November 27, 2018 Filed Nov 28, 2018 16:39 UTC	Vivaldi Opportunities Fund vam · Entity 148386	SaleCommon Stock	200	$14.70	$2,940.00	Disclosure SEC source: 0001251859-18-000012 · primary_doc.xml · nonDerivative · entry 2 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Daniel Asher Revocable Trust Disclosed balance after: 568,792.412 F1 · ownership.nature: Mr. Asher is the grantor and the trustee of the Daniel Asher Revocable Trust, and the beneficiaries are Mr. Asher, his wife and his descendants. Read SEC document
November 26, 2018 Filed Nov 28, 2018 16:39 UTC	Vivaldi Opportunities Fund vam · Entity 148386	SaleCommon Stock	1,000	$14.76	$14,755.00	Disclosure SEC source: 0001251859-18-000012 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Daniel Asher Revocable Trust Disclosed balance after: 568,992.412 F1 · ownership.nature: Mr. Asher is the grantor and the trustee of the Daniel Asher Revocable Trust, and the beneficiaries are Mr. Asher, his wife and his descendants. Read SEC document
November 20, 2018 Filed Nov 21, 2018 15:34 UTC	Vivaldi Opportunities Fund VAM · Entity 148386	SaleCommon Stock	1,100	$14.70	$16,170.00	Disclosure SEC source: 0001251859-18-000011 · primary_doc.xml · nonDerivative · entry 2 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Daniel Asher Revocable Trust Disclosed balance after: 569,992.412 F1 · ownership.nature: Mr, Asher is the grantor and trustee of the Daniel Asher Revocable Trust, and the beneficiaries are Mr. Asher, his wife and his descendants. Read SEC document
November 19, 2018 Filed Nov 21, 2018 15:34 UTC	Vivaldi Opportunities Fund VAM · Entity 148386	SaleCommon Stock	1,588	$14.70	$23,349.32	Disclosure SEC source: 0001251859-18-000011 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Daniel Asher Revocable Trust Disclosed balance after: 571,092.412 F1 · ownership.nature: Mr, Asher is the grantor and trustee of the Daniel Asher Revocable Trust, and the beneficiaries are Mr. Asher, his wife and his descendants. Read SEC document
October 19, 2018 Filed Oct 23, 2018 16:57 UTC	Vivaldi Opportunities Fund VAM · Entity 148386	SaleCommon Stock	1	$14.95	$14.95	Disclosure SEC source: 0001251859-18-000010 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Daniel Asher Revocable Trust Disclosed balance after: 572,680.412 F1 · ownership.nature: Mr. Asher is the grantor and trustee of the Daniel Asher Revocable Trust, and the beneficiaries are Mr. Asher, his wife and his descendants. Read SEC document
October 16, 2018 Filed Oct 18, 2018 16:59 UTC	Vivaldi Opportunities Fund vam · Entity 148386	Salecommon stock	4	$14.95	$59.80	Disclosure SEC source: 0001251859-18-000009 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · by Daniel Asher Revocable trust Disclosed balance after: 572,681.412 F1 · ownership.nature: Mr. Asher is the grantor and trustee of the Daniel Asher Revocable Trust, and the beneficiaries are Mr. Asher, his wife and his descendants. Read SEC document
October 15, 2018 Filed Oct 16, 2018 17:36 UTC	Vivaldi Opportunities Fund VAM · Entity 148386	SaleCommon Stock	200	$14.95	$2,990.00	Disclosure SEC source: 0001251859-18-000008 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · by Daniel Asher Revocable Trust Disclosed balance after: 572,685.412 F1 · ownership.nature: Mr. Asher is the grantor and trustee of the Daniel Asher Revocable Trust, and the beneficiaries are Mr. Asher, his wife and his descendants. Read SEC document
October 10, 2018 Filed Oct 11, 2018 17:21 UTC	Vivaldi Opportunities Fund vam · Entity 148386	SaleCommon Stock	1,890	$14.95	$28,255.50	Disclosure SEC source: 0001251859-18-000007 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Daniel Asher Revocable Trust Disclosed balance after: 572,885.412 F1 · ownership.nature: Mr. Asher is the grantor and trustee of the Daniel Asher Revocable Trust, and the beneficiaries are Mr. Asher, his wife and hi descendants Read SEC document
September 18, 2018 Filed Sep 19, 2018 17:14 UTC	Vivaldi Opportunities Fund VAM · Entity 148386	SaleCommon Stock	2,200	$15.02	$33,049.94	Disclosure SEC source: 0001251859-18-000006 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Daniel Asher Revocable Trust Disclosed balance after: 574,775.412 F1 · ownership.nature: Mr. Asher is the grantor and trustee of the Daniel Asher Revocable Trust, and the beneficiaries are Mr. Asher, his wife and his descendants. Read SEC document
September 13, 2018 Filed Sep 14, 2018 15:45 UTC	Vivaldi Opportunities Fund VAM · Entity 148386	SaleCommon Stock	600	$15.05	$9,030.00	Disclosure SEC source: 0001251859-18-000005 · primary_doc.xml · nonDerivative · entry 2 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Daniel Asher Revocable Trust Disclosed balance after: 576,975.412 F3 · balance_after: End-of-period holdings include shares acquired under a dividend reinvestment plan in exempt transactions not required to be reported pursuant to section 16(a). F1 · ownership.nature: Mr. Asher is the grantor and trustee of the Daniel Asher Revocable Trust, and the beneficiaries are Mr. Asher, his wife and his descendants. Read SEC document
September 13, 2018 Filed Sep 14, 2018 15:45 UTC	Vivaldi Opportunities Fund VAM · Entity 148386	SaleCommon Stock	300	$15.04	$4,511.01	Disclosure SEC source: 0001251859-18-000005 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Daniel Asher Revocable Trust Disclosed balance after: 577,575.412 F3 · balance_after: End-of-period holdings include shares acquired under a dividend reinvestment plan in exempt transactions not required to be reported pursuant to section 16(a). F1 · ownership.nature: Mr. Asher is the grantor and trustee of the Daniel Asher Revocable Trust, and the beneficiaries are Mr. Asher, his wife and his descendants. Read SEC document
August 14, 2018 Filed Aug 15, 2018 20:29 UTC	Vivaldi Opportunities Fund VAM · Entity 148386	SaleCommon Stock	300	$14.95	$4,485.00	Disclosure SEC source: 0001251859-18-000004 · primary_doc.xml · nonDerivative · entry 2 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Daniel Asher Revocable Trust Disclosed balance after: 573,489 F2 · ownership.nature: Mr. Asher is the grantor and trustee of the Daniel Asher Revocable Trust, and the beneficiaries are Mr. Asher, his wife and his descendants. Read SEC document
August 13, 2018 Filed Aug 14, 2018 11:49 UTC	Vivaldi Opportunities Fund VAM · Entity 148386	SaleCommon Stock	1,500	$14.95	$22,425.00	Disclosure SEC source: 0001251859-18-000003 · primary_doc.xml · nonDerivative · entry 2 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Daniel Asher Revocable Trust Disclosed balance after: 573,789 F1 · ownership.nature: Mr. Asher is the grantor and trustee of the Daniel Asher Revocable Trust, and the beneficiaries are Mr. Asher, his wife and his descendants. Read SEC document
July 11, 2018 Filed Jul 12, 2018 19:00 UTC	Vivaldi Opportunities Fund VAM · Entity 148386	SaleCommon Stock	100	$15.10	$1,509.75	Disclosure SEC source: 0001251859-18-000002 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Daniel Asher Revocable Trust Disclosed balance after: 575,289 F1 · ownership.nature: Mr. Asher is the grantor and trustee of the Daniel Asher Revocable Trust, and the beneficiaries are Mr. Asher, his wife and his descendants. Read SEC document
July 02, 2018 Filed Jul 5, 2018 11:45 UTC	Vivaldi Opportunities Fund VAM · Entity 148386	SaleCommon Stock	900	$15.11	$13,599.00	Disclosure SEC source: 0001251859-18-000001 · primary_doc.xml · nonDerivative · entry 3 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Daniel Asher Revocable Trust Disclosed balance after: 575,389 F1 · ownership.nature: Mr. Asher is the grantor and trustee of the Daniel Asher Revocable Trust, and the beneficiaries are Mr. Asher, his wife and his descendants. Read SEC document
July 02, 2018 Filed Jul 5, 2018 11:45 UTC	Vivaldi Opportunities Fund VAM · Entity 148386	SaleCommon Stock	100	$15.12	$1,512.37	Disclosure SEC source: 0001251859-18-000001 · primary_doc.xml · nonDerivative · entry 2 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Daniel Asher Revocable Trust Disclosed balance after: 576,289 F1 · ownership.nature: Mr. Asher is the grantor and trustee of the Daniel Asher Revocable Trust, and the beneficiaries are Mr. Asher, his wife and his descendants. Read SEC document
June 29, 2018 Filed Jul 2, 2018 18:38 UTC	Vivaldi Opportunities Fund VAM · Entity 148386	SaleCommon Stock	1,000	$15.10	$15,100.00	Disclosure SEC source: 0001140361-18-031007 · doc1.xml · nonDerivative · entry 3 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Daniel Asher Revocable Trust Disclosed balance after: 576,389 F1 · ownership.nature: Mr. Asher is the grantor and trustee of the Daniel Asher Revocable Trust, and the beneficiaries are Mr. Asher, his wife and his descendants. Read SEC document
June 28, 2018 Filed Jul 2, 2018 18:38 UTC	Vivaldi Opportunities Fund VAM · Entity 148386	SaleCommon Stock	100	$15.41	$1,541.00	Disclosure SEC source: 0001140361-18-031007 · doc1.xml · nonDerivative · entry 2 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Daniel Asher Revocable Trust Disclosed balance after: 577,389 F1 · ownership.nature: Mr. Asher is the grantor and trustee of the Daniel Asher Revocable Trust, and the beneficiaries are Mr. Asher, his wife and his descendants. Read SEC document
June 28, 2018 Filed Jul 2, 2018 18:38 UTC	Vivaldi Opportunities Fund VAM · Entity 148386	SaleCommon Stock	1,000	$15.00	$15,000.00	Disclosure SEC source: 0001140361-18-031007 · doc1.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Daniel Asher Revocable Trust Disclosed balance after: 577,489 F1 · ownership.nature: Mr. Asher is the grantor and trustee of the Daniel Asher Revocable Trust, and the beneficiaries are Mr. Asher, his wife and his descendants. Read SEC document
May 22, 2017 Filed May 24, 2017 20:06 UTC	BRC Group Holdings, Inc. RILY · Entity 6050	SaleCommon Stock with a par value of $0.0001	125	$15.50	$1,937.50	Disclosure SEC source: 0001251859-17-000016 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,344,193 F1 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities. F2 · ownership.direct: The securities were sold through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name. Read SEC document
April 25, 2017 Filed Apr 27, 2017 20:10 UTC	BRC Group Holdings, Inc. RILY · Entity 6050	SaleCommon Stock with a par value of $0.0001	1,577	$15.10	$23,812.70	Disclosure SEC source: 0001251859-17-000015 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,344,318 F1 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities. F2 · ownership.direct: The securities were sold through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name. Read SEC document
March 14, 2017 Filed Mar 16, 2017 20:01 UTC	BRC Group Holdings, Inc. RILY · Entity 6050	SaleCommon Stock with a par value of $0.0001	932	$15.00	$13,980.00	Disclosure SEC source: 0001251859-17-000014 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,345,895 F1 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities. F2 · ownership.direct: The securities were sold through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name. Read SEC document
March 13, 2017 Filed Mar 15, 2017 20:00 UTC	BRC Group Holdings, Inc. RILY · Entity 6050	SaleCommon Stock with a par value of $0.0001	507	$15.40	$7,807.80	Disclosure SEC source: 0001251859-17-000013 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,346,827 F1 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities. F2 · ownership.direct: The securities were sold through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name. Read SEC document
March 10, 2017 Filed Mar 14, 2017 20:05 UTC	BRC Group Holdings, Inc. RILY · Entity 6050	SaleCommon Stock with a par value of $0.0001	990	$15.55	$15,394.50	Disclosure SEC source: 0001251859-17-000012 · primary_doc.xml · nonDerivative · entry 3 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,347,334 F1 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities. F2 · ownership.direct: The securities were sold through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name. Read SEC document
March 10, 2017 Filed Mar 14, 2017 20:05 UTC	BRC Group Holdings, Inc. RILY · Entity 6050	SaleCommon Stock with a par value of $0.0001	650	$15.60	$10,140.00	Disclosure SEC source: 0001251859-17-000012 · primary_doc.xml · nonDerivative · entry 2 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,348,324 F1 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities. F2 · ownership.direct: The securities were sold through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name. Read SEC document
March 10, 2017 Filed Mar 14, 2017 20:05 UTC	BRC Group Holdings, Inc. RILY · Entity 6050	SaleCommon Stock with a par value of $0.0001	1,000	$15.65	$15,650.00	Disclosure SEC source: 0001251859-17-000012 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,348,974 F1 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities. F2 · ownership.direct: The securities were sold through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name. Read SEC document
March 03, 2017 Filed Mar 7, 2017 21:00 UTC	BRC Group Holdings, Inc. RILY · Entity 6050	SaleCommon Stock with a par value of $0.0001	198	$15.25	$3,019.50	Disclosure SEC source: 0001251859-17-000011 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,349,974 F1 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities. F2 · ownership.direct: The securities were sold through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name. Read SEC document
March 02, 2017 Filed Mar 6, 2017 21:05 UTC	BRC Group Holdings, Inc. RILY · Entity 6050	SaleCommon Stock with a par value of $0.0001	184	$15.60	$2,870.40	Disclosure SEC source: 0001251859-17-000009 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,349,974 F1 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities. F2 · ownership.direct: The securities were sold through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name. Read SEC document
March 02, 2017 Filed Mar 7, 2017 20:46 UTC Amendment	BRC Group Holdings, Inc. RILY · Entity 6050	SaleCommon Stock with a par value of $0.0001	184	$15.60	$2,870.40	Disclosure SEC source: 0001251859-17-000010 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,350,172 F1 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities. F2 · ownership.direct: The securities were sold through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name. Read SEC document
March 01, 2017 Filed Mar 3, 2017 21:10 UTC	BRC Group Holdings, Inc. RILY · Entity 6050	SaleCommon Stock with a par value of $0.0001	1,067	$15.70	$16,751.90	Disclosure SEC source: 0001251859-17-000008 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,350,356 F1 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities. F2 · ownership.direct: The securities were sold through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name. Read SEC document
February 28, 2017 Filed Mar 2, 2017 21:15 UTC	BRC Group Holdings, Inc. RILY · Entity 6050	SaleCommon Stock with a par value of $0.0001	500	$15.65	$7,825.00	Disclosure SEC source: 0001251859-17-000007 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,351,423 F1 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities. F2 · ownership.direct: The securities were sold through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name. Read SEC document
February 22, 2017 Filed Feb 24, 2017 14:00 UTC	BRC Group Holdings, Inc. RILY · Entity 6050	PurchaseCommon Stock with a par value of $0.0001	1,200	$16.00	$19,200.00	Disclosure SEC source: 0001251859-17-000003 · primary_doc.xml · nonDerivative · entry 3 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,351,923 F1 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities. F2 · ownership.direct: The securities were sold through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name. Read SEC document
February 22, 2017 Filed Feb 24, 2017 14:00 UTC	BRC Group Holdings, Inc. RILY · Entity 6050	PurchaseCommon Stock with a par value of $0.0001	500	$16.30	$8,150.00	Disclosure SEC source: 0001251859-17-000003 · primary_doc.xml · nonDerivative · entry 2 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,353,123 F1 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities. F2 · ownership.direct: The securities were sold through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name. Read SEC document
February 22, 2017 Filed Feb 24, 2017 14:00 UTC	BRC Group Holdings, Inc. RILY · Entity 6050	PurchaseCommon Stock with a par value of $0.0001	100	$16.35	$1,635.00	Disclosure SEC source: 0001251859-17-000003 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,353,623 F1 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities. F2 · ownership.direct: The securities were sold through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name. Read SEC document
February 22, 2017 Filed Mar 2, 2017 21:08 UTC Amendment	BRC Group Holdings, Inc. RILY · Entity 6050	SaleCommon Stock with a par value of $0.0001	1,200	$16.00	$19,200.00	Disclosure SEC source: 0001251859-17-000006 · primary_doc.xml · nonDerivative · entry 3 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,351,923 F1 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities. F2 · ownership.direct: The securities were sold through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name. Read SEC document
February 22, 2017 Filed Mar 2, 2017 21:08 UTC Amendment	BRC Group Holdings, Inc. RILY · Entity 6050	SaleCommon Stock with a par value of $0.0001	500	$16.30	$8,150.00	Disclosure SEC source: 0001251859-17-000006 · primary_doc.xml · nonDerivative · entry 2 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,353,123 F1 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities. F2 · ownership.direct: The securities were sold through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name. Read SEC document
February 22, 2017 Filed Mar 2, 2017 21:08 UTC Amendment	BRC Group Holdings, Inc. RILY · Entity 6050	SaleCommon Stock with a par value of $0.0001	100	$16.35	$1,635.00	Disclosure SEC source: 0001251859-17-000006 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,353,623 F1 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities. F2 · ownership.direct: The securities were sold through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name. Read SEC document
January 27, 2017 Filed Jan 30, 2017 13:49 UTC	BRC Group Holdings, Inc. RILY · Entity 6050	PurchaseCommon Stock with a par value of $0.0001	15	$21.00	$315.00	Disclosure SEC source: 0001251859-17-000002 · primary_doc.xml · nonDerivative · entry 2 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,353,723 F1 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities. F2 · ownership.direct: The securities were sold through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name. Read SEC document
January 27, 2017 Filed Jan 30, 2017 13:49 UTC	BRC Group Holdings, Inc. RILY · Entity 6050	PurchaseCommon Stock with a par value of $0.0001	500	$20.80	$10,400.00	Disclosure SEC source: 0001251859-17-000002 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,353,738 F1 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities. F2 · ownership.direct: The securities were sold through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name. Read SEC document
January 27, 2017 Filed Mar 2, 2017 20:55 UTC Amendment	BRC Group Holdings, Inc. RILY · Entity 6050	SaleCommon Stock with a par value of $0.0001	15	$21.00	$315.00	Disclosure SEC source: 0001251859-17-000005 · primary_doc.xml · nonDerivative · entry 2 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,353,723 F1 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities. F2 · ownership.direct: The securities were sold through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name. Read SEC document
January 27, 2017 Filed Mar 2, 2017 20:55 UTC Amendment	BRC Group Holdings, Inc. RILY · Entity 6050	SaleCommon Stock with a par value of $0.0001	500	$20.80	$10,400.00	Disclosure SEC source: 0001251859-17-000005 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,353,738 F1 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities. F2 · ownership.direct: The securities were sold through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name. Read SEC document
January 25, 2017 Filed Jan 26, 2017 14:29 UTC	BRC Group Holdings, Inc. RILY · Entity 6050	PurchaseCommon Stock with a par value of $0.0001	2,663	$20.90	$55,650.58	Disclosure SEC source: 0001251859-17-000001 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,354,238 F1 · price: The price reported is the weighted average sale price for the transactions reported. The prices sold ranged from $20.75 to $21.10. The Reporting Person will provide to the issuer, a security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares purchased at each price within the range. F2 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities. F3 · ownership.direct: The securities were purchased through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name. Read SEC document
January 25, 2017 Filed Mar 2, 2017 20:45 UTC Amendment	BRC Group Holdings, Inc. RILY · Entity 6050	SaleCommon Stock with a par value of $0.0001	2,663	$20.90	$55,650.58	Disclosure SEC source: 0001251859-17-000004 · primary_doc.xml · nonDerivative · entry 1 ASHER DANIEL · CIK 0001251859 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,354,238 F1 · price: The price reported is the weighted average sale price for the transactions reported. The prices sold ranged from $20.75 to $21.10. The Reporting Person will provide to the issuer, a security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares purchased at each price within the range. F2 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities. F3 · ownership.direct: The securities were sold through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name. 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.