4/A//SEC Filing
ASHER DANIEL 4/A
Accession 0001251859-22-000006
CIK 0001464790other
Filed
May 26, 8:00 PM ET
Accepted
May 27, 4:01 PM ET
Size
9.7 KB
Accession
0001251859-22-000006
Insider Transaction Report
Form 4/AAmended
ASHER DANIEL
10% Owner
Transactions
- Exercise of In-Money
Common Stock
2022-05-20$50.00/sh−122,700$6,135,000→ 1,246,993 total(indirect: By LLC) - Exercise of In-Money
Common Stock
2022-05-20$50.00/sh−1,100$55,000→ 1,369,693 total(indirect: thru Sphinx Trading) - Exercise of In-Money
Common Stock
2022-05-20$45.00/sh−1,700$76,500→ 1,245,293 total(indirect: By LLC)
Holdings
- 730,800(indirect: By LLC)
Common Stock
Footnotes (4)
- [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.
Documents
Issuer
B. Riley Financial, Inc.
CIK 0001464790
Entity typeother
Related Parties
1- filerCIK 0001251859
Filing Metadata
- Form type
- 4/A
- Filed
- May 26, 8:00 PM ET
- Accepted
- May 27, 4:01 PM ET
- Size
- 9.7 KB