Alan N Forman
CIK 1490907 · EVP, General Counsel, Sec · last filed 2026-07-01
"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
$1.22M
Companies
4
Total Filings
38
Lifetime Open-Market Net
-$747.4K
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 |
|---|---|---|---|---|---|---|---|
| RILYZ | EVP, General Counsel, Sec | 34,974 | $18.48 | $646.3K | -$775.9K | 27 | 2026-07-01 |
| RILYL | EVP, General Counsel, Sec | 28,001 | $12.74 | $356.7K | $0 | 2 | 2017-05-26 |
| RILY | EVP, General Counsel, Sec. | 32,391 | $6.72 | $217.7K | $28.5K | 2 | 2016-05-26 |
| STR HOLDINGS, INC. (STRI) Delisted | Senior VP and Gen. Counsel | 16,667 | — | — | $0 | 3 | 2012-10-03 |
Recent Filings · Page 3 of 4
38 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 |
|---|---|---|---|---|---|
| 2020-12-08 | RILYZ | Exer (M) | — | $0 | EDGAR |
| 2020-12-07 | RILYZ | Exer (M) | +50,000 | $0 | EDGAR |
| 2020-05-26 | RILYZ | Mixed | +8,170 | -$104.9K | EDGAR |
| 2020-03-13 | RILYZ | Buy (P) | +4,000 | $80.8K | EDGAR |
| 2019-07-16 | RILYZ | Grant (A) | — | $0 | EDGAR |
| 2019-05-29 | RILYZ | Mixed | +7,934 | -$99.4K | EDGAR |
| 2018-06-15 | RILYZ | Grant (A) | +13,500 | $0 | EDGAR |
| 2018-05-29 | RILYZ | Tax (F) | −3,364 | -$70.1K | EDGAR |
| 2017-06-15 | RILYZ | Grant (A) | +14,516 | $0 | EDGAR |
| 2017-05-26 | RILYL | Tax (F) | −2,278 | -$32.1K | 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.