Insider transactions

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.

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Disclosed Exposure
$26.67M
Companies
15
Total Filings
102
Lifetime Open-Market Net
-$13.72M

Charts

Trading activity, where the exposure sits, and each trade against the stock price.

DDIC price and trades

Daily close with each Form 4 filing on this company marked: green = open-market buy, red = open-market sale, purple = grants, exercises, gifts and other non-market transactions. Marker size scales with the dollar value.

Shares held

Shares owned after each reported transaction on this company (direct holdings as reported).

Open-market buying and selling

by month

Dollar value of open-market purchases (code P, up) and sales (code S, down) across all companies, by filing month. Grants, exercises and gifts are excluded.

Exposure by company

latest
OfficerDirector10% owner* stale (no filing in 3 yrs)

Most recently reported shares × current price. Faded bars (*) have had no filing in 3 years, so the person may no longer hold them. Click a bar to chart that company.

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 10,260 — — $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 $8.36 $66.8K -$8.16M 2 2009-02-18
TRANSMETA CORP (TMTA) Delisted Director 26 — — $1.53M 6 2008-12-29
TSEM Director 27,334 $183.52 $5.02M $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 $23.01 $21.58M $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 8 of 11

102 filings
Insider 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
2007-11-06 — Buy (P) +1,419,705 $1.4K
2007-10-19 CENTILLIUM COMMUNICATIONS INC (CTLM) Delisted Buy (P) +790,374 $1.29M EDGAR
2007-10-18 ITERIS, INC. (ITI) Delisted Buy (P) +625,635 $1.52M EDGAR
2007-10-18 Kaspien Holdings Inc. (TWMC) Delisted Buy (P) +558,375 $2.46M EDGAR
2007-10-18 — Buy (P) +548,535 $3.21M
2007-10-18 MAIR Buy (P) +137,618 $712.9K EDGAR
2007-10-18 REGENT COMMUNICATIONS INC (RGCI) Delisted Buy (P) +306,182 $741.0K EDGAR
2007-10-02 MAGNETEK, INC. (MAG) Delisted Sell (S) −601,320 -$2.92M EDGAR
2007-08-20 CENTILLIUM COMMUNICATIONS INC (CTLM) Delisted Buy (P) +110,166 $162.7K EDGAR
2007-08-15 CENTILLIUM COMMUNICATIONS INC (CTLM) Delisted Buy (P) +199,500 $292.0K EDGAR
Showing 71–80 of 102
Page 8 of 11
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.