SEC Form 4 · accession 0001615774-18-014221

BRC Group Holdings, Inc. · RILY

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

Reporting owner

Bryant R Riley

Officer — Chairman and Co-CEO · Director · 10% Owner

Period of report

Dec 7, 2018

Accepted (ET)

Dec 11, 2018 · 3:12 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^F1	Dec 7, 2018	P	10,500	$17.28	A	4,322,666	D
Common Stock^F2	Dec 7, 2018	P	4,400	$17.40	A	73,617	I	By B. Riley Financial, Inc. 401(k) Profit Sharing Plan FBO Bryant Riley
Common Stock^F3,F7	Dec 10, 2018	P	4,330	$17.1491	A	4,875	I	As custodian for UTMA account of S.R.
Common Stock^F4,F7	Dec 10, 2018	P	4,330	$17.1491	A	4,875	I	As custodian for UTMA account of C.R.
Common Stock^F5,F7	Dec 10, 2018	P	4,330	$17.1491	A	4,875	I	As custodian for UTMA account of A.R.
Common Stock^F6,F7	Dec 10, 2018	P	4,330	$17.1491	A	4,875	I	As custodian for UTMA account of E.R.
Common Stock^F8	holding	—	—		—	200,000	I	By the Robert Antin Children Irrevocable Trust

Table II — derivative securities

No Table II lines on this filing.

Explanation of responses

F1Bryant R. Riley (the "Reporting Person") beneficially owns 4,322,666 shares directly or jointly with his wife. Previously, 2,180 shares held in custodial accounts established pursuant to the UTMA (defined below) for the Reporting Person's children were incorrectly reported as shares held directly by the Reporting Person, which is corrected on this Form 4.
F2B. Riley Financial, Inc. 401(k) Profit Sharing Plan FBO Bryant Riley was formerly known as "B. Riley & Co., LLC 401(k) Profit Sharing Plan FBO Bryant Riley."
F3The shares were purchased for S.R., the child of the Reporting Person, through a custodial account established pursuant to the Uniform Transfer to Minors Act ("UTMA") for which the Reporting Person serves as custodian.
F4The shares were purchased for C.R., the child of the Reporting Person, through a custodial account established pursuant to the UTMA for which the Reporting Person serves as custodian.
F5The shares were purchased for A.R., the child of the Reporting Person, through a custodial account established pursuant to the UTMA for which the Reporting Person serves as custodian.
F6The shares were purchased for by E.R., the child of the Reporting Person, through a custodial account established pursuant to the UTMA for which the Reporting Person serves as custodian.
F7The Reporting Person disclaims beneficial ownership of these shares, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose.
F8Held of record by the Robert Antin Children Irrevocable Trust Dtd 1/1/01 (the "Trust"). The Reporting Person, as Trustee of the Trust, may be deemed to beneficially own the shares held by the Trust.