Riley Investment Management LLC
CIK 1345523 · last filed 2014-07-03
"Disclosed insider exposure" sums this person's most-recently-reported share counts across each company they're an insider in, multiplied by the current underlying price. It is not net worth — it misses retail holdings, private investments, real estate, index funds, and any company where the person isn't an SEC-reporting insider. For informational purposes only.
Loading insider history…
Disclosed Exposure
$29.47M
Companies
15
Total Filings
102
Lifetime Open-Market Net
-$13.72M
Filer Profile
Reported Address
11100 SANTA MONICA BLVD.SUITE 810
LOS ANGELES, CA 90025
Phone
(310) 966-1444
Related Filers
BRYANT R RILEY — 273 joint filings, latest 2014-07-03
Riley Investment Partners Master Fund, L.P. — 159 joint filings, latest 2008-11-25
B. Riley & Co., LLC — 10 joint filings, latest 2014-07-03
Riley Investment Partners LP — 10 joint filings, latest 2014-07-03
EQUITEC PROPRIETARY MARKETS, LLC — 4 joint filings, latest 2014-07-03
LLOYD I MILLER III — 4 joint filings, latest 2010-09-03
B. RILEY CAPITAL MANAGEMENT, LLC — same reported address
B. RILEY PRINCIPAL INVESTMENTS, LLC — same reported address
Profile details as reported on the filer's SEC submissions — for individual insiders the address is often in care of the issuer. Related filers are identified from jointly filed SEC submissions and shared reported addresses.
View filings on SEC EDGAR.
Holdings By Company
Latest on-record share count from this person's most recent non-derivative Form 4 transaction in each company. Disclosed exposure = shares × current underlying price.
| Symbol | Role | Shares | Price | Disclosed Exposure | Lifetime OM Net | Filings | Latest Filed |
|---|---|---|---|---|---|---|---|
| STR HOLDINGS, INC. (STRI) Delisted | 10%+ Owner | 151,401 | — | — | $0 | 1 | 2014-07-03 |
| DDI CORP (DDIC) Delisted | Director | 550,867 | — | — | -$19.86M | 9 | 2012-04-20 |
| StableX Technologies, Inc. (WPCS) Delisted | 10%+ Owner | 71,823 | — | — | $901.7K | 1 | 2010-09-03 |
| Kaspien Holdings Inc. (TWMC) Delisted | Director | 4,255 | — | — | -$1.68M | 11 | 2010-06-14 |
| TRANSWITCH CORP /DE (TXCC) Delisted | 3,392 | — | — | -$113.7K | 2 | 2010-02-26 | |
| SSTI | Director | 8,000 | $5.61 | $44.9K | -$8.16M | 2 | 2009-02-18 |
| TRANSMETA CORP (TMTA) Delisted | Director | 26 | — | — | $1.53M | 6 | 2008-12-29 |
| TSEM | Director | 27,334 | $211.52 | $5.78M | $8.64M | 18 | 2008-11-25 |
| REGENT COMMUNICATIONS INC (RGCI) Delisted | 476,366 | — | — | $897.6K | 3 | 2008-11-25 | |
| ITERIS, INC. (ITI) Delisted | 10%+ Owner | 233,545 | $7.19 | $1.68M | $1.86M | 8 | 2008-05-08 |
| CENTILLIUM COMMUNICATIONS INC (CTLM) Delisted | 10%+ Owner | 2,178,987 | — | — | $1.31M | 12 | 2008-03-26 |
| Applied Digital Corp. (FLT.WS) Delisted | 10%+ Owner | 2,600 | — | — | $2.39M | 3 | 2008-01-30 |
| MAIR | 938,038 | $25.21 | $23.65M | $1.48M | 5 | 2007-11-29 | |
| MAGNETEK, INC. (MAG) Delisted | 10%+ Owner | 306,230 | $24.47 | $7.49M | -$2.92M | 1 | 2007-10-02 |
| KITTY HAWK INC (KHK) Delisted | Director | 6,793,787 | — | — | $0 | 2 | 2007-05-14 |
Recent Filings · Page 2 of 11
102 filingsInsider activity across all companies, newest first. Form 4 rows are post-trade confirmations (buys, sells, grants, exercises). Notice (144) rows are pre-trade notices of intent to sell restricted or control stock under Rule 144 — they may not all execute. Compare adjacent dates to see which notices became actual sales.
| Filed | Symbol | Action | Net Shares | Net $ | Link |
|---|---|---|---|---|---|
| 2010-03-16 | DDI CORP (DDIC) Delisted | Buy (P) | +261,528 | $1.42M | EDGAR |
| 2010-02-26 | TRANSWITCH CORP /DE (TXCC) Delisted | Sell (S) | −34,238 | -$84.3K | EDGAR |
| 2009-10-19 | Kaspien Holdings Inc. (TWMC) Delisted | Mixed | −204,600 | -$318.8K | EDGAR |
| 2009-10-09 | Kaspien Holdings Inc. (TWMC) Delisted | Mixed | −400,000 | -$582.1K | EDGAR |
| 2009-06-19 | Kaspien Holdings Inc. (TWMC) Delisted | Grant (A) | — | $0 | EDGAR |
| 2009-05-14 | — | Grant (A) | — | $0 | |
| 2009-05-06 | DDI CORP (DDIC) Delisted | Buy (P) | +200 | $670 | EDGAR |
| 2009-03-02 | TRANSWITCH CORP /DE (TXCC) Delisted | Sell (S) | −97,980 | -$29.4K | EDGAR |
| 2009-02-18 | SSTI | Mixed | −4,292,708 | -$8.16M | EDGAR |
| 2008-12-29 | TRANSMETA CORP (TMTA) Delisted | Other (J) | −380,000 | -$6.77M | EDGAR |
Form 4 codes: P = open-market purchase · S = open-market sale · A = grant/award · M = option exercise · F = tax withholding at vest · G = bona-fide gift · D = disposition to issuer · J = other (see filing footnote). Only P / S codes carry directional signal.
Notice (144 / 144/A): Form 144 is a notice of intent to sell restricted/control stock under Rule 144, filed before the sale; 144/A is an amendment. Many notices are pre-scheduled under Rule 10b5-1 plans. A Form 4 with code S typically follows within a few days when the planned sale executes; missing follow-up Form 4s suggest the notice was cancelled or modified.
Notice (144 / 144/A): Form 144 is a notice of intent to sell restricted/control stock under Rule 144, filed before the sale; 144/A is an amendment. Many notices are pre-scheduled under Rule 10b5-1 plans. A Form 4 with code S typically follows within a few days when the planned sale executes; missing follow-up Form 4s suggest the notice was cancelled or modified.