-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, V+Gb6d0AJhWSt/JlDh7f15gejM6gzRIEfjj0j/BsLB1Z3KMCih2RUID7NmXmT7wj Z+UssS5GwR0/n4Jfj+wjsg== 0001019687-09-004098.txt : 20091113 0001019687-09-004098.hdr.sgml : 20091113 20091113165412 ACCESSION NUMBER: 0001019687-09-004098 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091113 DATE AS OF CHANGE: 20091113 EFFECTIVENESS DATE: 20091113 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Riley Investment Management LLC CENTRAL INDEX KEY: 0001345523 IRS NUMBER: 954799549 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12395 FILM NUMBER: 091182341 BUSINESS ADDRESS: STREET 1: 11100 SANTA MONICA BLVD. STREET 2: SUITE 810 CITY: LOS ANGELES STATE: CA ZIP: 90025 BUSINESS PHONE: 310-966-1444 MAIL ADDRESS: STREET 1: 11100 SANTA MONICA BLVD. STREET 2: SUITE 810 CITY: LOS ANGELES STATE: CA ZIP: 90025 13F-HR 1 briley_13f-093009.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 09/30/09 Check here if Amendment [_]; Amendment Number: This Amendment (Check only one.): [_] is a restatement. [_] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Riley Investment Management LLC Address: 11100 Santa Monica Blvd., Suite 800 Los Angeles, CA 90025 Form 13F File Number: 28-12395 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Allison Brogan Petchenick Title: Authorized Person Phone: 310 966-1445 Signature, Place, and Date of Signing: /s/ Allison Brogan Petchenick Los Angeles, CA 11/13/09 - ----------------------------- --------------- ------------------------- [Signature] [City, State] [Date] Report Type (Check only one.): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [_] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [_] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: ---------------------------------------------- Form 13F Information Table Entry Total: 12 ---------------------------------------- Form 13F Information Table Value Total: 39,010 ---------------------------------------- (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. NONE FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 -------- -------- -------- --------- -------------------- -------- ------- ----------------------------- TITLE OF VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (X$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ----- --------- --------- ------- --- ---- ---------- -------- -------- ------- ---- ALDILA INC NEW COM NEW 014384200 135 34,370 SH SOLE 34,370 0 COM 0.0001 DDI CORP. NEW 233162502 7,814 1,838,554 SH SOLE 1,623,524 215,030 INTEGRATED SILICON SOLUTIONS COM 45812P107 239 63,609 SH SOLE 62,760 849 ITERIS INC COM 46564T107 5,308 3,635,842 SH SOLE 2,046,273 1,589,569 LECROY CORP COM 52324W109 4,601 1,136,130 SH SOLE 802,343 333,787 MAGNETEK INC COM 559424106 3,583 2,296,635 SH SOLE 1,784,969 511,666 REGENT COMMUNICATIONS INC COM 758865109 1,245 2,895,782 SH SOLE 2,480,383 415,399 SILICON STORAGE TECH INC. COM 827057100 9,872 4,079,242 SH SOLE 3,569,366 509,876 MANAGEMENT NETWORK GRUP INC COM 561693102 1,637 2,558,266 SH SOLE 1,441,935 1,116,331 TRANS WORLD ENTERTAINMENT CORPCOM COM 89336Q100 2,127 2,337,705 SH SOLE 1,804,702 533,003 TRANSWITCH CORP COM 894065101 256 365,006 SH SOLE 74,096 290,910 COM PAR ZILOG INC $0.01 989524301 2,192 846,472 SH SOLE 846,472 0
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