Last 12 months
Inside the activity.
8 purchase rows · 2 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 1 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 7 | 2 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 11, 2020 Filed Mar 13, 2020 18:57 UTC |
BRC Group Holdings, Inc.10% owner
B. Riley Principal Sponsor Co., LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
BRC Partners Management GP, LLC10% owner
BRC Partners Opportunity Fund, LP10% owner
B. Riley Securities, Inc.10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
|
PurchaseCommon Stock | 29,438 | $7.31 | $215,100.52 |
DisclosureSEC source: 0001213900-20-006370 · ownership.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 5,784,919 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: 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. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRPLP. Read SEC document |
| March 06, 2020 Filed Mar 10, 2020 17:30 UTC |
BRC Group Holdings, Inc.10% owner
B. Riley Principal Sponsor Co., LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
BRC Partners Management GP, LLC10% owner
BRC Partners Opportunity Fund, LP10% owner
B. Riley Securities, Inc.10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
|
PurchaseWarrants (right to buy) · Derivative | 66,201 | $1.20 Strike: $11.50 | $79,441.20 |
DisclosureSEC source: 0001213900-20-005907 · ownership.xml · derivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 1,399,420 Underlying: Common Stock · 66,201 shares Expires not disclosed F4 · derivative.exercise_date: The warrants will become exercisable on April 11, 2020, which is 12 months from the closing of the initial public offering of the Issuer. F5 · derivative.expiration_date: The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation, as further described in the Prospectus. F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: 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. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRPLP. Read SEC document |
| March 03, 2020 Filed Mar 3, 2020 20:04 UTC |
BRC Group Holdings, Inc.10% owner
B. Riley Principal Sponsor Co., LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
BRC Partners Management GP, LLC10% owner
BRC Partners Opportunity Fund, LP10% owner
B. Riley Securities, Inc.10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
|
PurchaseWarrants (right to buy) · Derivative | 33,000 | $1.20 Strike: $11.50 | $39,600.00 |
DisclosureSEC source: 0001213900-20-005345 · ownership.xml · derivative · entry 11 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 1,333,219 Underlying: Common Stock · 33,000 shares Expires not disclosed F5 · derivative.exercise_date: The warrants will become exercisable on April 11, 2020, which is 12 months from the closing of the initial public offering of the Issuer. F6 · derivative.expiration_date: The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation, as further described in the Prospectus. F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: 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. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F4 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRFBR. Read SEC document |
| March 03, 2020 Filed Mar 3, 2020 20:04 UTC |
BRC Group Holdings, Inc.10% owner
B. Riley Principal Sponsor Co., LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
BRC Partners Management GP, LLC10% owner
BRC Partners Opportunity Fund, LP10% owner
B. Riley Securities, Inc.10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
|
PurchaseWarrants (right to buy) · Derivative | 33,000 | $1.20 Strike: $11.50 | $39,600.00 |
DisclosureSEC source: 0001213900-20-005345 · ownership.xml · derivative · entry 10 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 1,300,219 Underlying: Common Stock · 33,000 shares Expires not disclosed F5 · derivative.exercise_date: The warrants will become exercisable on April 11, 2020, which is 12 months from the closing of the initial public offering of the Issuer. F6 · derivative.expiration_date: The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation, as further described in the Prospectus. F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: 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. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRPLP. Read SEC document |
| March 03, 2020 Filed Mar 3, 2020 20:04 UTC |
BRC Group Holdings, Inc.10% owner
B. Riley Principal Sponsor Co., LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
BRC Partners Management GP, LLC10% owner
BRC Partners Opportunity Fund, LP10% owner
B. Riley Securities, Inc.10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
|
PurchaseCommon Stock | 552 | $8.45 | $4,663.90 |
DisclosureSEC source: 0001213900-20-005345 · ownership.xml · nonDerivative · entry 6 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 5,755,481 F7 · price: Shares were purchased at a price of $8.44906. F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: 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. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F4 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRFBR. Read SEC document |
| March 03, 2020 Filed Mar 3, 2020 20:04 UTC |
BRC Group Holdings, Inc.10% owner
B. Riley Principal Sponsor Co., LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
BRC Partners Management GP, LLC10% owner
BRC Partners Opportunity Fund, LP10% owner
B. Riley Securities, Inc.10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
|
PurchaseCommon Stock | 100 | $8.45 | $844.50 |
DisclosureSEC source: 0001213900-20-005345 · ownership.xml · nonDerivative · entry 5 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 5,754,929 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: 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. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F4 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRFBR. Read SEC document |
| March 03, 2020 Filed Mar 3, 2020 20:04 UTC |
BRC Group Holdings, Inc.10% owner
B. Riley Principal Sponsor Co., LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
BRC Partners Management GP, LLC10% owner
BRC Partners Opportunity Fund, LP10% owner
B. Riley Securities, Inc.10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
|
PurchaseCommon Stock | 167,209 | $8.40 | $1,404,555.60 |
DisclosureSEC source: 0001213900-20-005345 · ownership.xml · nonDerivative · entry 4 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 5,754,829 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: 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. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F4 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRFBR. Read SEC document |
| March 03, 2020 Filed Mar 3, 2020 20:04 UTC |
BRC Group Holdings, Inc.10% owner
B. Riley Principal Sponsor Co., LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
BRC Partners Management GP, LLC10% owner
BRC Partners Opportunity Fund, LP10% owner
B. Riley Securities, Inc.10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
|
PurchaseCommon Stock | 21,421 | $8.45 | $181,007.45 |
DisclosureSEC source: 0001213900-20-005345 · ownership.xml · nonDerivative · entry 3 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 5,587,620 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: 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. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F4 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRFBR. Read SEC document |
| March 03, 2020 Filed Apr 27, 2020 18:46 UTC Amendment |
BRC Group Holdings, Inc.10% owner
B. Riley Principal Sponsor Co., LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
BRC Partners Management GP, LLC10% owner
BRC Partners Opportunity Fund, LP10% owner
B. Riley Securities, Inc.10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
|
PurchaseWarrants (right to buy) · Derivative | 33,000 | $1.20 Strike: $11.50 | $39,600.00 |
DisclosureSEC source: 0001213900-20-010218 · ownership.xml · derivative · entry 10 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 1,333,219 Underlying: Common Stock · 33,000 shares Expires not disclosed F5 · derivative.exercise_date: The warrants will become exercisable on April 11, 2020, which is 12 months from the closing of the initial public offering of the Issuer. F6 · derivative.expiration_date: The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation, as further described in the Prospectus. F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: 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. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F4 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRFBR. Read SEC document |
| March 03, 2020 Filed Apr 27, 2020 18:46 UTC Amendment |
BRC Group Holdings, Inc.10% owner
B. Riley Principal Sponsor Co., LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
BRC Partners Management GP, LLC10% owner
BRC Partners Opportunity Fund, LP10% owner
B. Riley Securities, Inc.10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
|
PurchaseWarrants (right to buy) · Derivative | 33,000 | $1.20 Strike: $11.50 | $39,600.00 |
DisclosureSEC source: 0001213900-20-010218 · ownership.xml · derivative · entry 9 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 1,300,219 Underlying: Common Stock · 33,000 shares Expires not disclosed F5 · derivative.exercise_date: The warrants will become exercisable on April 11, 2020, which is 12 months from the closing of the initial public offering of the Issuer. F6 · derivative.expiration_date: The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation, as further described in the Prospectus. F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: 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. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRPLP. Read SEC document |
| March 03, 2020 Filed Apr 27, 2020 18:46 UTC Amendment |
BRC Group Holdings, Inc.10% owner
B. Riley Principal Sponsor Co., LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
BRC Partners Management GP, LLC10% owner
BRC Partners Opportunity Fund, LP10% owner
B. Riley Securities, Inc.10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
|
PurchaseCommon Stock | 552 | $8.45 | $4,663.90 |
DisclosureSEC source: 0001213900-20-010218 · ownership.xml · nonDerivative · entry 6 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 5,755,481 F7 · price: Shares were purchased at a price of $8.44906. F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: 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. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F4 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRFBR. Read SEC document |
| March 03, 2020 Filed Apr 27, 2020 18:46 UTC Amendment |
BRC Group Holdings, Inc.10% owner
B. Riley Principal Sponsor Co., LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
BRC Partners Management GP, LLC10% owner
BRC Partners Opportunity Fund, LP10% owner
B. Riley Securities, Inc.10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
|
PurchaseCommon Stock | 100 | $8.45 | $844.50 |
DisclosureSEC source: 0001213900-20-010218 · ownership.xml · nonDerivative · entry 5 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 5,754,929 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: 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. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F4 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRFBR. Read SEC document |
| March 03, 2020 Filed Apr 27, 2020 18:46 UTC Amendment |
BRC Group Holdings, Inc.10% owner
B. Riley Principal Sponsor Co., LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
BRC Partners Management GP, LLC10% owner
BRC Partners Opportunity Fund, LP10% owner
B. Riley Securities, Inc.10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
|
PurchaseCommon Stock | 167,209 | $8.40 | $1,404,555.60 |
DisclosureSEC source: 0001213900-20-010218 · ownership.xml · nonDerivative · entry 4 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 5,754,829 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: 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. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F4 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRFBR. Read SEC document |
| March 03, 2020 Filed Apr 27, 2020 18:46 UTC Amendment |
BRC Group Holdings, Inc.10% owner
B. Riley Principal Sponsor Co., LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
BRC Partners Management GP, LLC10% owner
BRC Partners Opportunity Fund, LP10% owner
B. Riley Securities, Inc.10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
|
PurchaseCommon Stock | 21,421 | $8.45 | $181,007.45 |
DisclosureSEC source: 0001213900-20-010218 · ownership.xml · nonDerivative · entry 3 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 5,587,620 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: 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. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F4 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRFBR. Read SEC document |
| March 02, 2020 Filed Mar 3, 2020 20:04 UTC |
BRC Group Holdings, Inc.10% owner
B. Riley Principal Sponsor Co., LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
BRC Partners Management GP, LLC10% owner
BRC Partners Opportunity Fund, LP10% owner
B. Riley Securities, Inc.10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
|
PurchaseCommon Stock | 90,060 | $8.65 | $778,838.88 |
DisclosureSEC source: 0001213900-20-005345 · ownership.xml · nonDerivative · entry 2 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 5,566,199 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: 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. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRPLP. Read SEC document |
| March 02, 2020 Filed Apr 27, 2020 18:46 UTC Amendment |
BRC Group Holdings, Inc.10% owner
B. Riley Principal Sponsor Co., LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
BRC Partners Management GP, LLC10% owner
BRC Partners Opportunity Fund, LP10% owner
B. Riley Securities, Inc.10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
|
PurchaseCommon Stock | 90,060 | $8.65 | $778,838.88 |
DisclosureSEC source: 0001213900-20-010218 · ownership.xml · nonDerivative · entry 2 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 5,566,199 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: 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. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRPLP. Read SEC document |
| February 28, 2020 Filed Mar 3, 2020 20:04 UTC |
BRC Group Holdings, Inc.10% owner
B. Riley Principal Sponsor Co., LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
BRC Partners Management GP, LLC10% owner
BRC Partners Opportunity Fund, LP10% owner
B. Riley Securities, Inc.10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
|
SaleWarrants (right to buy) · Derivative | 107,500 | $1.20 Strike: $11.50 | $129,000.00 |
DisclosureSEC source: 0001213900-20-005345 · ownership.xml · derivative · entry 9 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 1,267,219 Underlying: Common Stock · 107,500 shares Expires not disclosed F5 · derivative.exercise_date: The warrants will become exercisable on April 11, 2020, which is 12 months from the closing of the initial public offering of the Issuer. F6 · derivative.expiration_date: The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation, as further described in the Prospectus. F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: 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. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F4 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRFBR. Read SEC document |
| February 28, 2020 Filed Mar 3, 2020 20:04 UTC |
BRC Group Holdings, Inc.10% owner
B. Riley Principal Sponsor Co., LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
BRC Partners Management GP, LLC10% owner
BRC Partners Opportunity Fund, LP10% owner
B. Riley Securities, Inc.10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
|
PurchaseWarrants (right to buy) · Derivative | 218,100 | $1.20 Strike: $11.50 | $261,720.00 |
DisclosureSEC source: 0001213900-20-005345 · ownership.xml · derivative · entry 8 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 1,374,719 Underlying: Common Stock · 218,100 shares Expires not disclosed F5 · derivative.exercise_date: The warrants will become exercisable on April 11, 2020, which is 12 months from the closing of the initial public offering of the Issuer. F6 · derivative.expiration_date: The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation, as further described in the Prospectus. F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: 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. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F4 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRFBR. Read SEC document |
| February 28, 2020 Filed Mar 3, 2020 20:04 UTC |
BRC Group Holdings, Inc.10% owner
B. Riley Principal Sponsor Co., LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
BRC Partners Management GP, LLC10% owner
BRC Partners Opportunity Fund, LP10% owner
B. Riley Securities, Inc.10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
|
PurchaseWarrants (right to buy) · Derivative | 129,700 | $1.20 Strike: $11.50 | $155,640.00 |
DisclosureSEC source: 0001213900-20-005345 · ownership.xml · derivative · entry 7 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 1,156,619 Underlying: Common Stock · 129,700 shares Expires not disclosed F5 · derivative.exercise_date: The warrants will become exercisable on April 11, 2020, which is 12 months from the closing of the initial public offering of the Issuer. F6 · derivative.expiration_date: The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation, as further described in the Prospectus. F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: 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. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRPLP. Read SEC document |
| February 28, 2020 Filed Mar 3, 2020 20:04 UTC |
BRC Group Holdings, Inc.10% owner
B. Riley Principal Sponsor Co., LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
BRC Partners Management GP, LLC10% owner
BRC Partners Opportunity Fund, LP10% owner
B. Riley Securities, Inc.10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
|
PurchaseCommon Stock | 29,600 | $8.87 | $262,525.36 |
DisclosureSEC source: 0001213900-20-005345 · ownership.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 5,476,139 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: 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. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRPLP. Read SEC document |
| February 28, 2020 Filed Apr 27, 2020 18:46 UTC Amendment |
BRC Group Holdings, Inc.10% owner
B. Riley Principal Sponsor Co., LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
BRC Partners Management GP, LLC10% owner
BRC Partners Opportunity Fund, LP10% owner
B. Riley Securities, Inc.10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
|
PurchaseWarrants (right to buy) · Derivative | 110,600 | $1.20 Strike: $11.50 | $132,720.00 |
DisclosureSEC source: 0001213900-20-010218 · ownership.xml · derivative · entry 8 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 1,267,219 Underlying: Common Stock · 110,600 shares Expires not disclosed F5 · derivative.exercise_date: The warrants will become exercisable on April 11, 2020, which is 12 months from the closing of the initial public offering of the Issuer. F6 · derivative.expiration_date: The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation, as further described in the Prospectus. F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: 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. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F4 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRFBR. Read SEC document |
| February 28, 2020 Filed Apr 27, 2020 18:46 UTC Amendment |
BRC Group Holdings, Inc.10% owner
B. Riley Principal Sponsor Co., LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
BRC Partners Management GP, LLC10% owner
BRC Partners Opportunity Fund, LP10% owner
B. Riley Securities, Inc.10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
|
PurchaseWarrants (right to buy) · Derivative | 129,700 | $1.20 Strike: $11.50 | $155,640.00 |
DisclosureSEC source: 0001213900-20-010218 · ownership.xml · derivative · entry 7 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 1,156,619 Underlying: Common Stock · 129,700 shares Expires not disclosed F5 · derivative.exercise_date: The warrants will become exercisable on April 11, 2020, which is 12 months from the closing of the initial public offering of the Issuer. F6 · derivative.expiration_date: The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation, as further described in the Prospectus. F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: 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. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRPLP. Read SEC document |
| February 28, 2020 Filed Apr 27, 2020 18:46 UTC Amendment |
BRC Group Holdings, Inc.10% owner
B. Riley Principal Sponsor Co., LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
BRC Partners Management GP, LLC10% owner
BRC Partners Opportunity Fund, LP10% owner
B. Riley Securities, Inc.10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
|
PurchaseCommon Stock | 29,600 | $8.87 | $262,525.36 |
DisclosureSEC source: 0001213900-20-010218 · ownership.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 5,476,139 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: 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. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRPLP. Read SEC document |
| February 27, 2020 Filed Feb 27, 2020 20:07 UTC |
BRC Group Holdings, Inc.10% owner
B. Riley Principal Sponsor Co., LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
BRC Partners Management GP, LLC10% owner
BRC Partners Opportunity Fund, LP10% owner
B. Riley Securities, Inc.10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
|
SaleWarrants (right to buy) · Derivative | 40,000 | $1.20 Strike: $11.50 | $48,000.00 |
DisclosureSEC source: 0001213900-20-004958 · ownership.xml · derivative · entry 7 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 1,026,919 Underlying: Common Stock · 40,000 shares Expires not disclosed F5 · derivative.exercise_date: The warrants will become exercisable on April 11, 2020, which is 12 months from the closing of the initial public offering of the Issuer. F6 · derivative.expiration_date: The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation, as further described in the Prospectus. F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: 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. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F4 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRFBR. Read SEC document |
| February 27, 2020 Filed Feb 27, 2020 20:07 UTC |
BRC Group Holdings, Inc.10% owner
B. Riley Principal Sponsor Co., LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
BRC Partners Management GP, LLC10% owner
BRC Partners Opportunity Fund, LP10% owner
B. Riley Securities, Inc.10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
|
PurchaseWarrants (right to buy) · Derivative | 297,245 | $1.10 Strike: $11.50 | $326,969.50 |
DisclosureSEC source: 0001213900-20-004958 · ownership.xml · derivative · entry 6 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 1,066,919 Underlying: Common Stock · 297,245 shares Expires not disclosed F5 · derivative.exercise_date: The warrants will become exercisable on April 11, 2020, which is 12 months from the closing of the initial public offering of the Issuer. F6 · derivative.expiration_date: The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation, as further described in the Prospectus. F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: 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. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F4 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRFBR. Read SEC document |
| February 27, 2020 Filed Feb 27, 2020 20:07 UTC |
BRC Group Holdings, Inc.10% owner
B. Riley Principal Sponsor Co., LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
BRC Partners Management GP, LLC10% owner
BRC Partners Opportunity Fund, LP10% owner
B. Riley Securities, Inc.10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
|
PurchaseWarrants (right to buy) · Derivative | 80,000 | $1.20 Strike: $11.50 | $96,000.00 |
DisclosureSEC source: 0001213900-20-004958 · ownership.xml · derivative · entry 5 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 769,674 Underlying: Common Stock · 80,000 shares Expires not disclosed F5 · derivative.exercise_date: The warrants will become exercisable on April 11, 2020, which is 12 months from the closing of the initial public offering of the Issuer. F6 · derivative.expiration_date: The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation, as further described in the Prospectus. F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: 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. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F4 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRFBR. Read SEC document |
| February 27, 2020 Filed Feb 27, 2020 20:07 UTC |
BRC Group Holdings, Inc.10% owner
B. Riley Principal Sponsor Co., LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
BRC Partners Management GP, LLC10% owner
BRC Partners Opportunity Fund, LP10% owner
B. Riley Securities, Inc.10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
|
PurchaseWarrants (right to buy) · Derivative | 341,099 | $1.11 Strike: $11.50 | $379,199.76 |
DisclosureSEC source: 0001213900-20-004958 · ownership.xml · derivative · entry 4 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 689,674 Underlying: Common Stock · 341,099 shares Expires not disclosed F5 · derivative.exercise_date: The warrants will become exercisable on April 11, 2020, which is 12 months from the closing of the initial public offering of the Issuer. F6 · derivative.expiration_date: The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation, as further described in the Prospectus. F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: 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. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRPLP. Read SEC document |
| February 27, 2020 Filed Feb 27, 2020 20:07 UTC |
BRC Group Holdings, Inc.10% owner
B. Riley Principal Sponsor Co., LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
BRC Partners Management GP, LLC10% owner
BRC Partners Opportunity Fund, LP10% owner
B. Riley Securities, Inc.10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
|
PurchaseCommon Stock | 140,632 | $8.96 | $1,259,598.63 |
DisclosureSEC source: 0001213900-20-004958 · ownership.xml · nonDerivative · entry 3 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 5,446,539 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: 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. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRPLP. Read SEC document |
| February 27, 2020 Filed Apr 27, 2020 18:44 UTC Amendment |
BRC Group Holdings, Inc.10% owner
B. Riley Principal Sponsor Co., LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
BRC Partners Management GP, LLC10% owner
BRC Partners Opportunity Fund, LP10% owner
B. Riley Securities, Inc.10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
|
PurchaseWarrants (right to buy) · Derivative | 297,245 | $1.10 Strike: $11.50 | $326,969.50 |
DisclosureSEC source: 0001213900-20-010216 · ownership.xml · derivative · entry 6 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 1,026,919 Underlying: Common Stock · 297,245 shares Expires not disclosed F5 · derivative.exercise_date: The warrants will become exercisable on April 11, 2020, which is 12 months from the closing of the initial public offering of the Issuer. F6 · derivative.expiration_date: The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation, as further described in the Prospectus. F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: 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. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F4 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRFBR. Read SEC document |
| February 27, 2020 Filed Apr 27, 2020 18:44 UTC Amendment |
BRC Group Holdings, Inc.10% owner
B. Riley Principal Sponsor Co., LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
BRC Partners Management GP, LLC10% owner
BRC Partners Opportunity Fund, LP10% owner
B. Riley Securities, Inc.10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
|
PurchaseWarrants (right to buy) · Derivative | 40,000 | $1.20 Strike: $11.50 | $48,000.00 |
DisclosureSEC source: 0001213900-20-010216 · ownership.xml · derivative · entry 5 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 729,674 Underlying: Common Stock · 40,000 shares Expires not disclosed F5 · derivative.exercise_date: The warrants will become exercisable on April 11, 2020, which is 12 months from the closing of the initial public offering of the Issuer. F6 · derivative.expiration_date: The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation, as further described in the Prospectus. F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: 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. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F4 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRFBR. Read SEC document |
| February 27, 2020 Filed Apr 27, 2020 18:44 UTC Amendment |
BRC Group Holdings, Inc.10% owner
B. Riley Principal Sponsor Co., LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
BRC Partners Management GP, LLC10% owner
BRC Partners Opportunity Fund, LP10% owner
B. Riley Securities, Inc.10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
|
PurchaseWarrants (right to buy) · Derivative | 341,099 | $1.11 Strike: $11.50 | $379,199.76 |
DisclosureSEC source: 0001213900-20-010216 · ownership.xml · derivative · entry 4 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 689,674 Underlying: Common Stock · 341,099 shares Expires not disclosed F5 · derivative.exercise_date: The warrants will become exercisable on April 11, 2020, which is 12 months from the closing of the initial public offering of the Issuer. F6 · derivative.expiration_date: The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation, as further described in the Prospectus. F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: 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. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRPLP. Read SEC document |
| February 27, 2020 Filed Apr 27, 2020 18:44 UTC Amendment |
BRC Group Holdings, Inc.10% owner
B. Riley Principal Sponsor Co., LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
BRC Partners Management GP, LLC10% owner
BRC Partners Opportunity Fund, LP10% owner
B. Riley Securities, Inc.10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
|
PurchaseCommon Stock | 140,632 | $8.96 | $1,259,598.63 |
DisclosureSEC source: 0001213900-20-010216 · ownership.xml · nonDerivative · entry 3 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 5,446,539 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: 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. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRPLP. Read SEC document |
| February 26, 2020 Filed Feb 27, 2020 20:07 UTC |
BRC Group Holdings, Inc.10% owner
B. Riley Principal Sponsor Co., LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
BRC Partners Management GP, LLC10% owner
BRC Partners Opportunity Fund, LP10% owner
B. Riley Securities, Inc.10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
|
PurchaseCommon Stock | 30,638 | $9.21 | $282,105.51 |
DisclosureSEC source: 0001213900-20-004958 · ownership.xml · nonDerivative · entry 2 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 5,305,907 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: 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. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRPLP. Read SEC document |
| February 26, 2020 Filed Apr 27, 2020 18:44 UTC Amendment |
BRC Group Holdings, Inc.10% owner
B. Riley Principal Sponsor Co., LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
BRC Partners Management GP, LLC10% owner
BRC Partners Opportunity Fund, LP10% owner
B. Riley Securities, Inc.10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
|
PurchaseCommon Stock | 30,638 | $9.21 | $282,105.51 |
DisclosureSEC source: 0001213900-20-010216 · ownership.xml · nonDerivative · entry 2 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 5,305,907 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: 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. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRPLP. Read SEC document |
| February 25, 2020 Filed Feb 27, 2020 20:07 UTC |
BRC Group Holdings, Inc.10% owner
B. Riley Principal Sponsor Co., LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
BRC Partners Management GP, LLC10% owner
BRC Partners Opportunity Fund, LP10% owner
B. Riley Securities, Inc.10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
|
PurchaseCommon Stock | 75,000 | $9.29 | $696,502.50 |
DisclosureSEC source: 0001213900-20-004958 · ownership.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 5,275,269 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: 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. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRPLP. Read SEC document |
| February 25, 2020 Filed Apr 27, 2020 18:44 UTC Amendment |
BRC Group Holdings, Inc.10% owner
B. Riley Principal Sponsor Co., LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
BRC Partners Management GP, LLC10% owner
BRC Partners Opportunity Fund, LP10% owner
B. Riley Securities, Inc.10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
|
PurchaseCommon Stock | 75,000 | $9.29 | $696,502.50 |
DisclosureSEC source: 0001213900-20-010216 · ownership.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 5,275,269 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: 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. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRPLP. Read SEC document |
| February 24, 2020 Filed Feb 24, 2020 19:19 UTC |
BRC Group Holdings, Inc.10% owner
B. Riley Principal Sponsor Co., LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
BRC Partners Management GP, LLC10% owner
BRC Partners Opportunity Fund, LP10% owner
B. Riley Securities, Inc.10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
|
PurchaseCommon Stock | 100,000 | $9.65 | $965,180.00 |
DisclosureSEC source: 0001213900-20-004686 · ownership.xml · nonDerivative · entry 3 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 5,200,269 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: 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. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRPLP. Read SEC document |
| February 21, 2020 Filed Feb 24, 2020 19:19 UTC |
BRC Group Holdings, Inc.10% owner
B. Riley Principal Sponsor Co., LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
BRC Partners Management GP, LLC10% owner
BRC Partners Opportunity Fund, LP10% owner
B. Riley Securities, Inc.10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
|
PurchaseCommon Stock | 97,027 | $10.38 | $1,006,907.40 |
DisclosureSEC source: 0001213900-20-004686 · ownership.xml · nonDerivative · entry 2 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 5,100,269 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: 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. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRPLP. Read SEC document |
| February 20, 2020 Filed Feb 24, 2020 19:19 UTC |
BRC Group Holdings, Inc.10% owner
B. Riley Principal Sponsor Co., LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
BRC Partners Management GP, LLC10% owner
BRC Partners Opportunity Fund, LP10% owner
B. Riley Securities, Inc.10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
|
PurchaseCommon Stock | 11,202 | $10.47 | $117,283.82 |
DisclosureSEC source: 0001213900-20-004686 · ownership.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 5,003,242 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: 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. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRPLP. Read SEC document |
| February 18, 2020 Filed Feb 19, 2020 20:42 UTC |
Shribman DanielDirector
|
PurchaseCommon Stock | 47,393 | $10.55 | $499,996.15 |
DisclosureSEC source: 0001213900-20-004231 · ownership.xml · nonDerivative · entry 2 Shribman Daniel · CIK 0001772389 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 326,985 Read SEC document |
| February 14, 2020 Filed Feb 20, 2020 01:42 UTC |
STUDDERT ANDREW PDirector
|
OtherPrivate Placement Warrants · Derivative | 3,750 | Not disclosed Strike: $11.50 | Not disclosed |
DisclosureSEC source: 0001213900-20-004318 · ownership.xml · derivative · entry 2 STUDDERT ANDREW P · CIK 0001053465 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,750 Underlying: Common Stock · 3,750 shares Expires 2025-03-15 F2 · security: Each private placement warrant is exercisable for one share of Issuer common stock at $11.50 per share, as described under the heading "Description of Securities-Warrants-Private Placement Warrants" in the Issuer's Definitive Proxy Statement filed with the Securities and Exchange Commission on January 23, 2020. F1 · kind: Pursuant to a securities purchase agreement (the "agreement"), the Reporting Person purchased 10,000 shares of Issuer common stock from a private seller at a price of $10.00 per share. Pursuant to the terms of the agreement, concurrent with the purchase of the 10,000 shares, the private seller assigned an additional 526 shares of Issuer common stock 3,750 Issuer private placement warrants to the Reporting Person at no additional cost. F1 · price: Pursuant to a securities purchase agreement (the "agreement"), the Reporting Person purchased 10,000 shares of Issuer common stock from a private seller at a price of $10.00 per share. Pursuant to the terms of the agreement, concurrent with the purchase of the 10,000 shares, the private seller assigned an additional 526 shares of Issuer common stock 3,750 Issuer private placement warrants to the Reporting Person at no additional cost. Read SEC document |
| February 14, 2020 Filed Feb 20, 2020 01:42 UTC |
STUDDERT ANDREW PDirector
|
OtherCommon Stock | 10,526 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-20-004318 · ownership.xml · nonDerivative · entry 1 STUDDERT ANDREW P · CIK 0001053465 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,526 F1 · kind: Pursuant to a securities purchase agreement (the "agreement"), the Reporting Person purchased 10,000 shares of Issuer common stock from a private seller at a price of $10.00 per share. Pursuant to the terms of the agreement, concurrent with the purchase of the 10,000 shares, the private seller assigned an additional 526 shares of Issuer common stock 3,750 Issuer private placement warrants to the Reporting Person at no additional cost. F1 · price: Pursuant to a securities purchase agreement (the "agreement"), the Reporting Person purchased 10,000 shares of Issuer common stock from a private seller at a price of $10.00 per share. Pursuant to the terms of the agreement, concurrent with the purchase of the 10,000 shares, the private seller assigned an additional 526 shares of Issuer common stock 3,750 Issuer private placement warrants to the Reporting Person at no additional cost. Read SEC document |
| February 14, 2020 Filed Feb 19, 2020 21:16 UTC |
BRC Group Holdings, Inc.10% owner
B. Riley Principal Sponsor Co., LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
BRC Partners Management GP, LLC10% owner
BRC Partners Opportunity Fund, LP10% owner
B. Riley Securities, Inc.10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
|
OtherWarrants (right to buy) · Derivative | 25,000 | Not disclosed Strike: $11.50 | Not disclosed |
DisclosureSEC source: 0001213900-20-004334 · ownership.xml · derivative · entry 15 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 348,575 Underlying: Common Stock · 25,000 shares Expires not disclosed F9 · kind: Immediately prior to the Closing, in connection with the Subscription Agreements, the Sponsor forfeited 178,947 shares of common stock to the Company for cancellation for no consideration, and BRPI and the Sponsor transferred an aggregate of 1,275,000 warrants to the Company for no consideration. In addition, immediately prior to the Closing, the Sponsor forfeited to the Company for cancellation for no consideration an aggregate of 1,470,855 additional shares of common stock. F9 · price: Immediately prior to the Closing, in connection with the Subscription Agreements, the Sponsor forfeited 178,947 shares of common stock to the Company for cancellation for no consideration, and BRPI and the Sponsor transferred an aggregate of 1,275,000 warrants to the Company for no consideration. In addition, immediately prior to the Closing, the Sponsor forfeited to the Company for cancellation for no consideration an aggregate of 1,470,855 additional shares of common stock. F12 · derivative.exercise_date: The warrants will become exercisable on April 11, 2020, which is 12 months from the closing of the initial public offering of the Issuer. F13 · derivative.expiration_date: The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation, as further described in the Prospectus. F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer" or the "Company"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: 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. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F10 · ownership.nature: Represents shares of Common Stock or warrants held directly by the Sponsor. Read SEC document |
| February 14, 2020 Filed Feb 19, 2020 21:16 UTC |
BRC Group Holdings, Inc.10% owner
B. Riley Principal Sponsor Co., LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
BRC Partners Management GP, LLC10% owner
BRC Partners Opportunity Fund, LP10% owner
B. Riley Securities, Inc.10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
|
OtherWarrants (right to buy) · Derivative | 1,250,000 | Not disclosed Strike: $11.50 | Not disclosed |
DisclosureSEC source: 0001213900-20-004334 · ownership.xml · derivative · entry 14 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 373,575 Underlying: Common Stock · 1,250,000 shares Expires not disclosed F9 · kind: Immediately prior to the Closing, in connection with the Subscription Agreements, the Sponsor forfeited 178,947 shares of common stock to the Company for cancellation for no consideration, and BRPI and the Sponsor transferred an aggregate of 1,275,000 warrants to the Company for no consideration. In addition, immediately prior to the Closing, the Sponsor forfeited to the Company for cancellation for no consideration an aggregate of 1,470,855 additional shares of common stock. F9 · price: Immediately prior to the Closing, in connection with the Subscription Agreements, the Sponsor forfeited 178,947 shares of common stock to the Company for cancellation for no consideration, and BRPI and the Sponsor transferred an aggregate of 1,275,000 warrants to the Company for no consideration. In addition, immediately prior to the Closing, the Sponsor forfeited to the Company for cancellation for no consideration an aggregate of 1,470,855 additional shares of common stock. F12 · derivative.exercise_date: The warrants will become exercisable on April 11, 2020, which is 12 months from the closing of the initial public offering of the Issuer. F13 · derivative.expiration_date: The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation, as further described in the Prospectus. F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer" or the "Company"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: 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. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F8 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRPI. Read SEC document |
| February 14, 2020 Filed Feb 19, 2020 21:16 UTC |
BRC Group Holdings, Inc.10% owner
B. Riley Principal Sponsor Co., LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
BRC Partners Management GP, LLC10% owner
BRC Partners Opportunity Fund, LP10% owner
B. Riley Securities, Inc.10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
|
OtherWarrants (right to buy) · Derivative | 1,250,000 | Not disclosed Strike: $11.50 | Not disclosed |
DisclosureSEC source: 0001213900-20-004334 · ownership.xml · derivative · entry 13 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 1,623,575 Underlying: Common Stock · 1,250,000 shares Expires not disclosed F7 · kind: Immediately prior to the closing, pursuant to the forward purchase agreement, dated as of April 8, 2019 (the "Forward Purchase Agreement"), by and between the Company and BRPI, the Company issued to BRPI 2,500,000 shares of common stock for $10.00 per share, for an aggregate purchase price of $25,000,000, plus 1,250,000 warrants. F7 · price: Immediately prior to the closing, pursuant to the forward purchase agreement, dated as of April 8, 2019 (the "Forward Purchase Agreement"), by and between the Company and BRPI, the Company issued to BRPI 2,500,000 shares of common stock for $10.00 per share, for an aggregate purchase price of $25,000,000, plus 1,250,000 warrants. F12 · derivative.exercise_date: The warrants will become exercisable on April 11, 2020, which is 12 months from the closing of the initial public offering of the Issuer. F13 · derivative.expiration_date: The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation, as further described in the Prospectus. F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer" or the "Company"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: 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. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F8 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRPI. Read SEC document |
| February 14, 2020 Filed Feb 19, 2020 21:16 UTC |
BRC Group Holdings, Inc.10% owner
B. Riley Principal Sponsor Co., LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
BRC Partners Management GP, LLC10% owner
BRC Partners Opportunity Fund, LP10% owner
B. Riley Securities, Inc.10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
|
OtherWarrants (right to buy) · Derivative | 138,750 | Not disclosed Strike: $11.50 | Not disclosed |
DisclosureSEC source: 0001213900-20-004334 · ownership.xml · derivative · entry 12 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 373,575 Underlying: Common Stock · 138,750 shares Expires not disclosed F6 · kind: On February 12, 2020, the Company entered into securities purchase agreements (the "Securities Purchase Agreements") with BRPLP and certain PIPE investors, which include Zachary E. Savas and Andrew Studdert, two of the members of the Company's board of directors, pursuant to which such PIPE investors have agreed to purchase from BRPLP an aggregate of 370,000 of the shares of common stock BRPLP subscribed to purchase at a price of $10.00 per share, or $3,700,000, and pursuant to which such PIPE investors will receive an additional 19,473 shares of common stock (each, an "incentive share") and 138,750 warrants to purchase shares of common stock (each, an "incentive warrant") from BRPLP in the aggregate. F6 · price: On February 12, 2020, the Company entered into securities purchase agreements (the "Securities Purchase Agreements") with BRPLP and certain PIPE investors, which include Zachary E. Savas and Andrew Studdert, two of the members of the Company's board of directors, pursuant to which such PIPE investors have agreed to purchase from BRPLP an aggregate of 370,000 of the shares of common stock BRPLP subscribed to purchase at a price of $10.00 per share, or $3,700,000, and pursuant to which such PIPE investors will receive an additional 19,473 shares of common stock (each, an "incentive share") and 138,750 warrants to purchase shares of common stock (each, an "incentive warrant") from BRPLP in the aggregate. F12 · derivative.exercise_date: The warrants will become exercisable on April 11, 2020, which is 12 months from the closing of the initial public offering of the Issuer. F13 · derivative.expiration_date: The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation, as further described in the Prospectus. F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer" or the "Company"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: 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. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRPLP. Read SEC document |
| February 14, 2020 Filed Feb 19, 2020 21:16 UTC |
BRC Group Holdings, Inc.10% owner
B. Riley Principal Sponsor Co., LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
BRC Partners Management GP, LLC10% owner
BRC Partners Opportunity Fund, LP10% owner
B. Riley Securities, Inc.10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
|
OtherWarrants (right to buy) · Derivative | 256,875 | Not disclosed Strike: $11.50 | Not disclosed |
DisclosureSEC source: 0001213900-20-004334 · ownership.xml · derivative · entry 11 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 512,325 Underlying: Common Stock · 256,875 shares Expires not disclosed F5 · kind: As an inducement to enter into the subscription agreements, and upon the consummation of the business combination, the PIPE investors (other than BRPI) received an aggregate of 178,947 incentive shares and an aggregate of 1,275,000 of the Company's warrants. F5 · price: As an inducement to enter into the subscription agreements, and upon the consummation of the business combination, the PIPE investors (other than BRPI) received an aggregate of 178,947 incentive shares and an aggregate of 1,275,000 of the Company's warrants. F12 · derivative.exercise_date: The warrants will become exercisable on April 11, 2020, which is 12 months from the closing of the initial public offering of the Issuer. F13 · derivative.expiration_date: The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation, as further described in the Prospectus. F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer" or the "Company"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: 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. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRPLP. Read SEC document |
| February 14, 2020 Filed Feb 19, 2020 21:16 UTC |
BRC Group Holdings, Inc.10% owner
B. Riley Principal Sponsor Co., LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
BRC Partners Management GP, LLC10% owner
BRC Partners Opportunity Fund, LP10% owner
B. Riley Securities, Inc.10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
|
OtherCommon Stock | 186,395 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-20-004334 · ownership.xml · nonDerivative · entry 10 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 4,992,040 F11 · kind: Represents shares of Common Stock sent in a pro rata distribution by the Sponsor to certain of its members in connection with the business combination. F11 · price: Represents shares of Common Stock sent in a pro rata distribution by the Sponsor to certain of its members in connection with the business combination. F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer" or the "Company"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: 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. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F10 · ownership.nature: Represents shares of Common Stock or warrants held directly by the Sponsor. Read SEC document |
| February 14, 2020 Filed Feb 19, 2020 21:16 UTC |
BRC Group Holdings, Inc.10% owner
B. Riley Principal Sponsor Co., LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
BRC Partners Management GP, LLC10% owner
BRC Partners Opportunity Fund, LP10% owner
B. Riley Securities, Inc.10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
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OtherCommon Stock | 279,592 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-20-004334 · ownership.xml · nonDerivative · entry 9 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 5,178,435 F11 · kind: Represents shares of Common Stock sent in a pro rata distribution by the Sponsor to certain of its members in connection with the business combination. F11 · price: Represents shares of Common Stock sent in a pro rata distribution by the Sponsor to certain of its members in connection with the business combination. F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer" or the "Company"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: 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. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F10 · ownership.nature: Represents shares of Common Stock or warrants held directly by the Sponsor. Read SEC document |
| February 14, 2020 Filed Feb 19, 2020 21:16 UTC |
BRC Group Holdings, Inc.10% owner
B. Riley Principal Sponsor Co., LLC10% owner
B. RILEY CAPITAL MANAGEMENT, LLC10% owner
BRC Partners Management GP, LLC10% owner
BRC Partners Opportunity Fund, LP10% owner
B. Riley Securities, Inc.10% owner
B. RILEY PRINCIPAL INVESTMENTS, LLC10% owner
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OtherCommon Stock | 1,470,855 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-20-004334 · ownership.xml · nonDerivative · entry 8 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 5,458,027 F9 · kind: Immediately prior to the Closing, in connection with the Subscription Agreements, the Sponsor forfeited 178,947 shares of common stock to the Company for cancellation for no consideration, and BRPI and the Sponsor transferred an aggregate of 1,275,000 warrants to the Company for no consideration. In addition, immediately prior to the Closing, the Sponsor forfeited to the Company for cancellation for no consideration an aggregate of 1,470,855 additional shares of common stock. F9 · price: Immediately prior to the Closing, in connection with the Subscription Agreements, the Sponsor forfeited 178,947 shares of common stock to the Company for cancellation for no consideration, and BRPI and the Sponsor transferred an aggregate of 1,275,000 warrants to the Company for no consideration. In addition, immediately prior to the Closing, the Sponsor forfeited to the Company for cancellation for no consideration an aggregate of 1,470,855 additional shares of common stock. F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer" or the "Company"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: 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. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F10 · ownership.nature: Represents shares of Common Stock or warrants held directly by the Sponsor. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.