SEC Form 3 · accession 0000895813-16-000034
BRC Group Holdings, Inc. · RILY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Daniel Asher
10% Owner
DJ Fund Investments, LLC - Series E
10% Owner
Fred Goldman
10% Owner
Michael LaRocque
10% Owner
Period of report
May 19, 2014
Accepted (ET)
Jul 12, 2016 · 12:00 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001464790
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock with a par value of $0.0001 per shareF1,F2 | holding | — | — | — | 2,000,000 | D | ||
| Common Stock with a par value of $0.0001 per shareF2,F3 | holding | — | — | — | 100,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These 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. Daniel Asher ("Asher"), a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and Asher have entered into an informal unwritten agreement that provides Asher with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and Asher 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 LaRoque disclaim beneficial ownership of the securities.
- F2This Form 3 is being jointly filed by DJ Fund, Goldman, LaRocque and Asher (collectively, the "Reporting Persons"). The filing of this statement shall not be construed as an admission that any of the Reporting Persons is the beneficial owner of any securities covered by the statement for purposes of Section 16 of the Securities Exchange Act of 1934, as amended or for any other purpose, except to the extent of its or his pecuniary interest therein, if any, or actual ownership of such securities, if any.
- F3These securities were purchased on May 5, 2016 through, and are held of record in, a brokerage account at Equitec Proprietary Market, LLC in Asher's name.
Remarks
Fred Goldman and Michael LaRocque disclaim beneficial ownership of the securities, except to the extent of their pecuniary interest therein, if any, or actual ownership of such securities, if any.