-----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, JkOicz7zsXlxjnJPqhIOHVSd4SZJ3kSAi9QMWn80LK6YdDWKOBbMZVbs1F8DgfOo G7EtYwjqP5XS11s9+BI69A== 0001144204-07-055110.txt : 20071018 0001144204-07-055110.hdr.sgml : 20071018 20071018215520 ACCESSION NUMBER: 0001144204-07-055110 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070813 FILED AS OF DATE: 20071018 DATE AS OF CHANGE: 20071018 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ITERIS, INC. CENTRAL INDEX KEY: 0000350868 STANDARD INDUSTRIAL CLASSIFICATION: COMMUNICATIONS EQUIPMENT, NEC [3669] IRS NUMBER: 952588496 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 BUSINESS ADDRESS: STREET 1: 1515 S. MANCHESTER AVE. CITY: ANAHEIM STATE: CA ZIP: 92802 BUSINESS PHONE: 7147745000 MAIL ADDRESS: STREET 1: 1515 S. MANCHESTER AVE. CITY: ANAHEIM STATE: CA ZIP: 92802 FORMER COMPANY: FORMER CONFORMED NAME: ITERIS HOLDINGS INC DATE OF NAME CHANGE: 20031107 FORMER COMPANY: FORMER CONFORMED NAME: ODETICS INC DATE OF NAME CHANGE: 19920703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Riley Investment Management LLC CENTRAL INDEX KEY: 0001345523 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08762 FILM NUMBER: 071179886 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Riley Investment Partners Master Fund, L.P. CENTRAL INDEX KEY: 0001385084 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08762 FILM NUMBER: 071179887 BUSINESS ADDRESS: STREET 1: 11100 SANTA MONICA BOULEVARD STREET 2: SUITE 810 CITY: LOS ANGELES STATE: CA ZIP: 90025 BUSINESS PHONE: (310) 966-1445 MAIL ADDRESS: STREET 1: 11100 SANTA MONICA BOULEVARD STREET 2: SUITE 810 CITY: LOS ANGELES STATE: CA ZIP: 90025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RILEY BRYANT R CENTRAL INDEX KEY: 0001207269 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08762 FILM NUMBER: 071179888 BUSINESS ADDRESS: BUSINESS PHONE: 310 966 1444 MAIL ADDRESS: STREET 1: 11100 SANTA MONICA BLVD STE 810 CITY: LOS ANGELES STATE: CA ZIP: 90025 4 1 form410991_101807215121-.xml X0202 4 2007-08-13 0 0000350868 ITERIS, INC. ITI 0001207269 RILEY BRYANT R 11100 SANTA MONICA BLVD., SUITE 810 LOS ANGELES CA US 90025 0 0 1 0 0001385084 Riley Investment Partners Master Fund, L.P. 11100 SANTA MONICA BLVD., SUITE 810 LOS ANGELES CA US 90025 0 0 1 0 0001345523 Riley Investment Management LLC 11100 SANTA MONICA BLVD., SUITE 810 LOS ANGELES CA US 90025 0 0 1 0 Common Stock 1762568 I Footnote 1 Common Stock 2007-10-16 4 P 0 158545 2.48 A 200212 I Footnote 2 Common Stock 41000 I Footnote 3 Common Stock 2007-08-13 4 P 0 50000 2.3 A 1972160 I Footnote 4 Common Stock 33333 D Warrant to Purchase Common Stock 3.86 2004-05-19 2009-05-18 Common Stock 80875 80875 I Footnote 1 Warrant to Purchase Common Stock 4.03 2004-05-19 2009-05-18 Common Stock 77505 77505 I Footnote 1 Warrant to Purchase Common Stock 3.61 2004-05-19 2009-05-18 Common Stock 15506 15506 I Footnote 2 Warrant to Purchase Common Stock 3.86 2004-05-19 2009-05-18 Common Stock 21998 21998 D Warrant to Purchase Common Stock 4.03 2004-05-19 2009-05-18 Common Stock 21081 21081 D 6% Convertible Debenture 3.61 2004-05-19 2009-05-19 Common Stock 88644 88644 I Footnote 5 Warrant to Purchase Common Stock 3.86 2004-05-19 2009-05-18 Common Stock 10352 10352 I Footnote 5 Warrant to Purchase Common Stock 4.03 2004-05-19 2009-05-18 Common Stock 9920 9920 I Footnote 5 Sole equity owner of Riley Investment Management LLC, General Partner of Riley Investment Partners Master Fund, L.P. Sole indirect equity owner of B. Riley and Co., LLC. Trustee of the B. Riley and Co. Retirement Trust. Sole equity owner of Riley Investment Management LLC, investment adviser to managed accounts of advisory clients, some of which are indirectly affiliated with Mr. Riley or Riley Investment Partners Master Fund, L.P. Custodian for Mr. Riley's children. As converted to common stock basis. Joint account holder with spouse. The transactions reported resulted from a transfer of securities from an investment advisory client of Riley Investment Management LLC, including in connection with a liquidation of such client's account. /s/ Bryant Riley 2007-10-18 -----END PRIVACY-ENHANCED MESSAGE-----