SEC Form 4 · accession 0001251859-17-000009
BRC Group Holdings, Inc. · RILY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Daniel Asher
10% Owner
Period of report
Mar 2, 2017
Accepted (ET)
Mar 6, 2017 · 4:05 pm EST
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 $0.0001F1,F2 | Mar 2, 2017 | S | 184 | $15.60 | D | 2,349,974 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F12,000,000 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.
- F2The 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.