Riley Bryant R's Form 4/A amendment
AmendedEos Energy Enterprises, Inc. (EOSE) · filed Aug 30, 2021
- Accession no.
- 0001213900-21-045593
- Filed
- Aug 30, 2021, 4:01 PM ET
- Trade date
- Aug 24-26, 2021
- Filing delay
- 6 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Aug 27, 2021
This filing lists 4 non-derivative transactions. Open-market sales total $2.40M. It was filed 6 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Riley Bryant RCIK 0001207269 | 10% Owner |
| BRC Group Holdings, Inc.CIK 0001464790 | 10% Owner |
| B. Riley Securities, Inc.CIK 0001505748 | 10% Owner |
| BRC Partners Opportunity Fund, LPCIK 0001642765 | 10% Owner |
| B. Riley Capital Management, LLCCIK 0001658704 | 10% Owner |
| BRC Partners Management GP, LLCCIK 0001749420 | 10% Owner |
| B. Riley Principal Investments, LLCCIK 0001776226 | 10% Owner |
| B. Riley Principal Sponsor Co. II, LLCCIK 0001811637 | 10% Owner |
| BRF Investments, LLCCIK 0001880803 | 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 24, 2021 | Class A Common Stock | SSaleDisposed | −94,598 | $13.53 | −$1,279,466.33 | 8,431 | Indirect | Duplicate filing |
| Aug 25, 2021 | Class A Common Stock | SSaleDisposed | −8,431 | $13.55 | −$114,278.83 | 0 | Indirect | Duplicate filing |
| Aug 25, 2021 | Class A Common Stock | SSaleDisposed | −23,521 | $13.55 | −$318,817.75 | 366,479 | Indirect | Duplicate filing |
| Aug 26, 2021 | Class A Common Stock | SSaleDisposed | −50,000 | $13.85 | −$692,335 | 316,479 | Indirect | Duplicate filing |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
This Form 4 is being filed jointly by B. Riley Financial, Inc. ("BRF"), BRF Investments, LLC ("BRFI"), B. Riley Principal Sponsor Co. II, LLC (the "Sponsor"), B. Riley Principal Investments, LLC ("BRPI"), BRC Partners Opportunity Fund, LP ("BRPLP"), BRC Partners Opportunity Fund GP, LLC ("BRPGP"), B. Riley Capital Management, LLC ("BRCM"), B. Riley Securities, Inc. ("BRS"), and Bryant R. Riley. BRF is the parent company of BRFI and BRS. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRFI and BRS, respectively. BRPI is the sole member of the Sponsor. BRF is the parent company of BRPI. As a result, BRF and BRPI may be deemed to indirectly beneficially own the shares held by the Sponsor. BRPGP is the general partner of BRPLP. BRCM is the sole member of BRPGP. BRF is the parent company of BRCM. As a result, BRF, BRPGP, and BRCM, may be deemed to indirectly beneficially own the shares held by BRPLP.
- F2
Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRFI, BRS, BRPLP and the Sponsor. Each of BRF, BRFI, the Sponsor, BRPI, BRPLP, BRPGP, BRCM, BRS, and Bryant R. Riley disclaims beneficial ownership of the outstanding shares of Common Stock reported herein, except to the extent of its/his respective pecuniary interest therein.
- F3
Represents 2,167,000 shares of commons stock previously held directly by BRPI and subsequently transferred to BRFI.
- F4
Represents shares held directly by Bryant R. Riley.
Remarks
This filing amends Form 4 filed on August 27, 2021 to reflect the addition of BRFI as a Reporting Owner and signatory hereto. BRFI had not yet obtained edgar access codes at the time of the prior Form 4 filing and has since obtained such codes.