SEC Form 4 · accession 0001615774-17-003618
BRC Group Holdings, Inc. · RILY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gary Kent Wunderlich Jr.
Director
Period of report
Jul 12, 2017
Accepted (ET)
Jul 13, 2017 · 7:15 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 StockF1 | Jul 12, 2017 | A | 81,744 | $0.00 | A | 245,194 | D | |
| Common StockF2 | holding | — | — | — | 9,709 | I | By Wunderlich Children's Trust | |
| Common StockF3 | holding | — | — | — | 3,086 | I | By Alvin Wunderlich, Jr. Grandchildren's Trust | |
| Common StockF4 | holding | — | — | — | 1,320 | I | By Gary Wunderlich Jr. IRA - WFCS as Custodian Trust | |
| Common StockF5 | holding | — | — | — | 787 | I | By Madison Wunderlich Trust | |
| Common StockF6 | holding | — | — | — | 787 | I | By Gary Wunderlich III Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents a restricted stock unit that settles in common stock of the Company and vests in five equal installments on or about each July 3rd of 2018 through 2022.
- F2Mr. Wunderlich benefits from the Wunderlich Children's Trust. As such, Mr. Wunderlich may be deemed to have beneficial ownership of the securities owned by this entity.
- F3Mr. Wunderlich benefits from the Alvin Wunderlich, Jr. Grandchildren's Trust. As such, Mr. Wunderlich may be deemed to have beneficial ownership of the securities owned by this entity.
- F4Mr. Wunderlich benefits from the shares held in his IRA account. As such, Mr. Wunderlich may be deemed to have beneficial ownership of the securities in his IRA account.
- F5Mr. Wunderlich is the trustee of the Madison Wunderlich Trust. As such, Mr. Wunderlich may be deemed to have beneficial ownership of the securities owned by this entity.
- F6Mr. Wunderlich is the trustee of the Gary Wunderlich III Trust. As such, Mr. Wunderlich may be deemed to have beneficial ownership of the securities owned by this entity.