SEC Form 4 · accession 0001019687-16-006944

BRC Group Holdings, Inc. · RILY

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

10% Owner

Period of report

Jul 5, 2016

Accepted (ET)

Jul 15, 2016 · 11:31 am 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
Common Stock, par value $0.0001^F1,F2,F3	Jul 5, 2016	P	100	$8.92	A	2,111,891	D
Common Stock, par value of $0.0001^F2,F3	Jul 13, 2016	P	100	$9.05	A	2,111,991	D
Common Stock, par value of $0.0001^F2,F3	Jul 14, 2016	P	400	$9.025	A	2,112,391	D
Common Stock, par value of $0.0001^F2,F3	Jul 14, 2016	P	610	$9.04	A	2,113,001	D
Common Stock, par value of $0.0001^F2,F3	Jul 14, 2016	P	3,200	$9.06	A	2,116,201	D
Common Stock, par value of $0.0001^F2,F3	Jul 14, 2016	P	2,900	$9.08	A	2,119,101	D
Common Stock, par value of $0.0001^F2,F3	Jul 14, 2016	P	600	$9.10	A	2,119,701	D
Common Stock, par value of $0.0001^F2,F3	Jul 14, 2016	P	87,500	$9.10	A	2,207,201	D

No Table II lines on this filing.

F1The price reported is the weighted average sale price for the transactions reported. The prices paid ranged from $8.84 to $9.10. 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.
F22,000,000 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.
F3The 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.