Asher Daniel's Form 4/A amendment
AmendedBRC Group Holdings, Inc. (RILY) · filed May 27, 2022
- Accession no.
- 0001251859-22-000006
- Filed
- May 27, 2022
- Trade date
- May 20, 2022
- Filing delay
- 7 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- May 24, 2022
This filing lists 3 non-derivative transactions. It carries over 4 transactions from the original filing that it did not restate. Open-market purchases total $1.79M. Open-market sales total $85.0K. It was filed 7 days after the trade.
This amendment restates part of 0001251859-22-000005 (filed May 24, 2022). The transactions it did not restate still count and are listed below.
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 |
|---|---|
| Asher DanielCIK 0001251859 | 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 |
|---|---|---|---|---|---|---|---|---|
| May 20, 2022 | Common Stock | XIn-the-money exerciseDisposed | −1,100 | $50.00 | −$55,000 | 1,369,693 | Indirect | |
| May 20, 2022 | Common Stock | XIn-the-money exerciseDisposed | −122,700 | $50.00 | −$6,135,000 | 1,246,993 | Indirect | |
| May 20, 2022 | Common Stock | XIn-the-money exerciseDisposed | −1,700 | $45.00 | −$76,500 | 1,245,293 | Indirect |
Carried over from the original filing
This amendment restates only part of the original filing. The original's other transactions still stand, and the trade tables on Livermore count them under this amendment.
From 0001251859-22-000005 (filed May 24, 2022).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| May 20, 2022 | Common Stock | PPurchaseAcquired | +18,800 | $50.09 | +$941,692 | 1,370,793 | Indirect | |
| May 20, 2022 | Common Stock | SSaleDisposed | −1,700 | $50.00 | −$85,000 | 1,245,293 | Indirect | |
| May 23, 2022 | Common Stock | PPurchaseAcquired | +16,100 | $49.60 | +$798,560 | 1,261,393 | Indirect | |
| May 23, 2022 | Common Stock | PPurchaseAcquired | +1,100 | $49.60 | +$54,560 | 1,262,493 | Indirect |
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
the reporting person controls 50% of the membership interest in Equitec Proprietary Markets, LLC
- F2
AFO Blackberry, LLC is the managing member of AFOB FIP RILY, LLC and Daniel Asher is deemed to control AFO Blackberry, LLC
- F3
This amendment is being made to correct the item 3 transaction code from S to X for the items set forth in table 1. These transactions were assignments on short call positions that were entered by Daniel Asher prior to the May, 13, 2022. In addition the price of the disposal (d) in item4 with respect to the 1,700 assigned shares held through Equitec Proprietary Markets has been corrected to $45
- F4
This amendment also corrects the amount of securities beneficially owned (Item 5) through AFOB FIP RILY, LLC.