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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MOORE VIRGINIA 3811 TURTLE CREEKBLVD, SUITE 2100 DALLAS, TX 75219 |
X |
/s/ David Rench as Attorney-in-Fact | 05/19/2022 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Includes 100,000 shares of restricted stock granted as stock compensation for the Reporting Person's board service, 50,000 of which will vest on each of (i) April 1, 2022 or the date, if later, on which the SEC declares effective a registration statement covering the resale of the shares of restricted stock and (ii) April 1, 2023, so long as the Reporting Person is a director of the issuer on each such date. |
(2) | Consists of shares of common stock held by B. Riley Securities, Inc., of which Andrew Moore, the Reporting Person's spouse, is the Chief Executive Officer. |
(3) | Constitutes the weighted average purchase price for multiple transactions reported on this line having prices per share ranging from $2.13 to $2.48. The Reporting Persons will provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding each separate transaction. |
(4) | Consists of shares of common stock held by Andrew Moore, the Reporting Person's spouse. |