4//SEC Filing
BR Dialectic Capital Management, LLC 4
Accession 0001615774-18-007620
CIK 0001528930other
Filed
Aug 5, 8:00 PM ET
Accepted
Aug 6, 7:33 PM ET
Size
20.7 KB
Accession
0001615774-18-007620
Insider Transaction Report
Form 4
B. Riley Financial, Inc.
10% Owner
Transactions
- Purchase
Class A Common Stock
2018-08-02$9.17/sh+230,967$2,117,598→ 3,166,087 total(indirect: See notes) - Sale
Class A Common Stock
2018-08-02$9.19/sh−115,000$1,056,666→ 3,051,087 total(indirect: See notes) - Purchase
Class A Common Stock
2018-08-03$9.25/sh+34,700$320,906→ 3,085,787 total(indirect: See notes)
B. RILEY CAPITAL MANAGEMENT, LLC
10% Owner
Transactions
- Purchase
Class A Common Stock
2018-08-02$9.17/sh+230,967$2,117,598→ 3,166,087 total(indirect: See notes) - Sale
Class A Common Stock
2018-08-02$9.19/sh−115,000$1,056,666→ 3,051,087 total(indirect: See notes) - Purchase
Class A Common Stock
2018-08-03$9.25/sh+34,700$320,906→ 3,085,787 total(indirect: See notes)
B. RILEY FBR, INC.
10% Owner
Transactions
- Purchase
Class A Common Stock
2018-08-02$9.17/sh+230,967$2,117,598→ 3,166,087 total(indirect: See notes) - Sale
Class A Common Stock
2018-08-02$9.19/sh−115,000$1,056,666→ 3,051,087 total(indirect: See notes) - Purchase
Class A Common Stock
2018-08-03$9.25/sh+34,700$320,906→ 3,085,787 total(indirect: See notes)
BRC Partners Opportunity Fund, LP
10% Owner
Transactions
- Purchase
Class A Common Stock
2018-08-02$9.17/sh+230,967$2,117,598→ 3,166,087 total(indirect: See notes) - Sale
Class A Common Stock
2018-08-02$9.19/sh−115,000$1,056,666→ 3,051,087 total(indirect: See notes) - Purchase
Class A Common Stock
2018-08-03$9.25/sh+34,700$320,906→ 3,085,787 total(indirect: See notes)
DIALECTIC ANTITHESIS PARTNERS, LP
10% Owner
Transactions
- Purchase
Class A Common Stock
2018-08-02$9.17/sh+230,967$2,117,598→ 3,166,087 total(indirect: See notes) - Sale
Class A Common Stock
2018-08-02$9.19/sh−115,000$1,056,666→ 3,051,087 total(indirect: See notes) - Purchase
Class A Common Stock
2018-08-03$9.25/sh+34,700$320,906→ 3,085,787 total(indirect: See notes)
BR Dialectic Capital Management, LLC
10% Owner
Transactions
- Purchase
Class A Common Stock
2018-08-02$9.17/sh+230,967$2,117,598→ 3,166,087 total(indirect: See notes) - Sale
Class A Common Stock
2018-08-02$9.19/sh−115,000$1,056,666→ 3,051,087 total(indirect: See notes) - Purchase
Class A Common Stock
2018-08-03$9.25/sh+34,700$320,906→ 3,085,787 total(indirect: See notes)
Footnotes (3)
- [F1]In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 3 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Dialectic Antithesis Partners, LP, a Delaware limited partnership ("Dialectic") and BR Dialectic Capital Management, LLC, a Delaware limited liability company (collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock, par value $0.01 per share ("Tax Common Stock"), of Liberty Tax, Inc., a Delaware corporation ("Liberty Tax" or the "Issuer"), reported herein except to the extent of its pecuniary interest therein.
- [F2]BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRCM is an investment advisor to BRFBR and BRF is the parent company of BRFBR. As a result, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BR Dialectic is the general partner and investment manager of Dialectic. BRCM is an investment advisor and the parent company of BR Dialectic and BRF is the parent company of BRCM. As a result, BR Dialectic, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by Dialectic.
- [F3]Represents shares of Tax Common Stock owned directly by BRFBR.
Documents
Issuer
Liberty Tax, Inc.
CIK 0001528930
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001704985
Filing Metadata
- Form type
- 4
- Filed
- Aug 5, 8:00 PM ET
- Accepted
- Aug 6, 7:33 PM ET
- Size
- 20.7 KB