organization · Reporting owner
B. Riley Principal Sponsor Co., LLC
Disclosed activity across 1 company
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ALTA EQUIPMENT GROUP INC.ALTG · Entity 6371 | 10% owner | April 12, 2021 | April 12, 2021 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
ALTA EQUIPMENT GROUP INC.
Report date April 12, 2021 · Filed April 12, 2021
Jointly reported with BRC Group Holdings, Inc., B. RILEY CAPITAL MANAGEMENT, LLC, BRC Partners Management GP, LLC, BRC Partners Opportunity Fund, LP, B. Riley Securities, Inc., B. RILEY PRINCIPAL INVESTMENTS, LLC, RILEY BRYANT R
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy B. Riley Securities, Inc. | 4,811,666 |
Reported balance
After 2021-04-12 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-04-12 · Conversion · Acquired 132,826 · Balance 4,811,666 F5: As reported in the Current Report on Form 8-K filed by Alta Equipment Group Inc. (the "Issuer") with the Securities and Exchange Commission (the "SEC") on March 22, 2021, on March 22, 2021, the Issuer filed a definitive Schedule 14C Information Statement (the "Information Statement") with the SEC describing the mandatory exchange, pursuant to Amendment No. 1 to the Warrant Agreement (as defined below), dated March 3, 2021 between the Issuer and Continental Stock Transfer & Trust Company (the "Warrant Agent"), of the Issuer's outstanding warrants (the "Warrants") for shares of the Issuer's common stock at an exchange ratio of 0.263 shares of common stock per Warrant, which became effective on April 12, 2021, the next business day following the twentieth calendar day after the mailing of the Information Statement to the holders of the Warrants. F1: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company, a registered investment advisor ("BRCM"), B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI") and Bryant R. Riley. F2: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. 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. BRPI is the sole member of the Sponsor. BRF is the parent company of BRS and BRPI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS and BPRI. As a result, BRF and BRPI may be deemed to indirectly beneficially own the shares held by the Sponsor. F3: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRF, BRS, BRPLP and the Sponsor. Each of BRF, BRS, BRPGP, BRCM, BRPLP, the Sponsor, and BRPI (collectively, the "B. Riley Entities") and Bryant R. Riley disclaims beneficial ownership of the outstanding shares of Common Stock reported herein, except to the extent of its/his respective pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy BRC Partners Opportunity Fund, L.P. | 1,350,453 |
Reported balance
After 2021-04-12 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2021-04-12 · Conversion · Acquired 180,976 · Balance 1,350,453 F5: As reported in the Current Report on Form 8-K filed by Alta Equipment Group Inc. (the "Issuer") with the Securities and Exchange Commission (the "SEC") on March 22, 2021, on March 22, 2021, the Issuer filed a definitive Schedule 14C Information Statement (the "Information Statement") with the SEC describing the mandatory exchange, pursuant to Amendment No. 1 to the Warrant Agreement (as defined below), dated March 3, 2021 between the Issuer and Continental Stock Transfer & Trust Company (the "Warrant Agent"), of the Issuer's outstanding warrants (the "Warrants") for shares of the Issuer's common stock at an exchange ratio of 0.263 shares of common stock per Warrant, which became effective on April 12, 2021, the next business day following the twentieth calendar day after the mailing of the Information Statement to the holders of the Warrants. F1: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company, a registered investment advisor ("BRCM"), B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI") and Bryant R. Riley. F2: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. 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. BRPI is the sole member of the Sponsor. BRF is the parent company of BRS and BRPI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS and BPRI. As a result, BRF and BRPI may be deemed to indirectly beneficially own the shares held by the Sponsor. F3: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRF, BRS, BRPLP and the Sponsor. Each of BRF, BRS, BRPGP, BRCM, BRPLP, the Sponsor, and BRPI (collectively, the "B. Riley Entities") and Bryant R. Riley disclaims beneficial ownership of the outstanding shares of Common Stock reported herein, except to the extent of its/his respective pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy B. Riley Principal Sponsor Co., LLC | 54,243 |
Reported balance
After 2021-04-12 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2021-04-12 · Conversion · Acquired 54,243 · Balance 54,243 F5: As reported in the Current Report on Form 8-K filed by Alta Equipment Group Inc. (the "Issuer") with the Securities and Exchange Commission (the "SEC") on March 22, 2021, on March 22, 2021, the Issuer filed a definitive Schedule 14C Information Statement (the "Information Statement") with the SEC describing the mandatory exchange, pursuant to Amendment No. 1 to the Warrant Agreement (as defined below), dated March 3, 2021 between the Issuer and Continental Stock Transfer & Trust Company (the "Warrant Agent"), of the Issuer's outstanding warrants (the "Warrants") for shares of the Issuer's common stock at an exchange ratio of 0.263 shares of common stock per Warrant, which became effective on April 12, 2021, the next business day following the twentieth calendar day after the mailing of the Information Statement to the holders of the Warrants. F1: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company, a registered investment advisor ("BRCM"), B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI") and Bryant R. Riley. F2: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. 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. BRPI is the sole member of the Sponsor. BRF is the parent company of BRS and BRPI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS and BPRI. As a result, BRF and BRPI may be deemed to indirectly beneficially own the shares held by the Sponsor. F3: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRF, BRS, BRPLP and the Sponsor. Each of BRF, BRS, BRPGP, BRCM, BRPLP, the Sponsor, and BRPI (collectively, the "B. Riley Entities") and Bryant R. Riley disclaims beneficial ownership of the outstanding shares of Common Stock reported herein, except to the extent of its/his respective pecuniary interest therein. |
| Warrants (right to buy)SEC Table II · derivative / convertible security | IndirectBy B. Riley Securities, Inc. | 0 |
Reported balance
After 2021-04-12 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2021-04-12 · Conversion · Disposed 505,045 · Balance 0 F5: As reported in the Current Report on Form 8-K filed by Alta Equipment Group Inc. (the "Issuer") with the Securities and Exchange Commission (the "SEC") on March 22, 2021, on March 22, 2021, the Issuer filed a definitive Schedule 14C Information Statement (the "Information Statement") with the SEC describing the mandatory exchange, pursuant to Amendment No. 1 to the Warrant Agreement (as defined below), dated March 3, 2021 between the Issuer and Continental Stock Transfer & Trust Company (the "Warrant Agent"), of the Issuer's outstanding warrants (the "Warrants") for shares of the Issuer's common stock at an exchange ratio of 0.263 shares of common stock per Warrant, which became effective on April 12, 2021, the next business day following the twentieth calendar day after the mailing of the Information Statement to the holders of the Warrants. F6: Pursuant to the warrant agreement (the "Warrant Agreement") dated as of April 8, 2019, by and between the Issuer (f/k/a B. Riley Principal Merger Corp., or BRPM) and the Warrant Agent, the Warrants originally became exercisable on April 11, 2020, which was 12 months from the closing of the initial public offering of the Issuer. F7: Pursuant to the Warrant Agreement, the Warrants were originally set to expire five years after the completion of the business combination or earlier upon redemption or liquidation, as further described in the Prospectus filed by BRPM with the SEC on April 9, 2019. F1: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company, a registered investment advisor ("BRCM"), B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI") and Bryant R. Riley. F2: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. 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. BRPI is the sole member of the Sponsor. BRF is the parent company of BRS and BRPI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS and BPRI. As a result, BRF and BRPI may be deemed to indirectly beneficially own the shares held by the Sponsor. F3: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRF, BRS, BRPLP and the Sponsor. Each of BRF, BRS, BRPGP, BRCM, BRPLP, the Sponsor, and BRPI (collectively, the "B. Riley Entities") and Bryant R. Riley disclaims beneficial ownership of the outstanding shares of Common Stock reported herein, except to the extent of its/his respective pecuniary interest therein. |
| Warrants (right to buy)SEC Table II · derivative / convertible security | IndirectBy BRC Partners Opportunity Fund, L.P. | 0 |
Reported balance
After 2021-04-12 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2021-04-12 · Conversion · Disposed 688,125 · Balance 0 F5: As reported in the Current Report on Form 8-K filed by Alta Equipment Group Inc. (the "Issuer") with the Securities and Exchange Commission (the "SEC") on March 22, 2021, on March 22, 2021, the Issuer filed a definitive Schedule 14C Information Statement (the "Information Statement") with the SEC describing the mandatory exchange, pursuant to Amendment No. 1 to the Warrant Agreement (as defined below), dated March 3, 2021 between the Issuer and Continental Stock Transfer & Trust Company (the "Warrant Agent"), of the Issuer's outstanding warrants (the "Warrants") for shares of the Issuer's common stock at an exchange ratio of 0.263 shares of common stock per Warrant, which became effective on April 12, 2021, the next business day following the twentieth calendar day after the mailing of the Information Statement to the holders of the Warrants. F6: Pursuant to the warrant agreement (the "Warrant Agreement") dated as of April 8, 2019, by and between the Issuer (f/k/a B. Riley Principal Merger Corp., or BRPM) and the Warrant Agent, the Warrants originally became exercisable on April 11, 2020, which was 12 months from the closing of the initial public offering of the Issuer. F7: Pursuant to the Warrant Agreement, the Warrants were originally set to expire five years after the completion of the business combination or earlier upon redemption or liquidation, as further described in the Prospectus filed by BRPM with the SEC on April 9, 2019. F1: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company, a registered investment advisor ("BRCM"), B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI") and Bryant R. Riley. F2: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. 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. BRPI is the sole member of the Sponsor. BRF is the parent company of BRS and BRPI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS and BPRI. As a result, BRF and BRPI may be deemed to indirectly beneficially own the shares held by the Sponsor. F3: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRF, BRS, BRPLP and the Sponsor. Each of BRF, BRS, BRPGP, BRCM, BRPLP, the Sponsor, and BRPI (collectively, the "B. Riley Entities") and Bryant R. Riley disclaims beneficial ownership of the outstanding shares of Common Stock reported herein, except to the extent of its/his respective pecuniary interest therein. |
| Warrants (right to buy)SEC Table II · derivative / convertible security | IndirectBy B. Riley Principal Sponsor Co., LLC | 0 |
Reported balance
After 2021-04-12 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2021-04-12 · Conversion · Disposed 206,250 · Balance 0 F5: As reported in the Current Report on Form 8-K filed by Alta Equipment Group Inc. (the "Issuer") with the Securities and Exchange Commission (the "SEC") on March 22, 2021, on March 22, 2021, the Issuer filed a definitive Schedule 14C Information Statement (the "Information Statement") with the SEC describing the mandatory exchange, pursuant to Amendment No. 1 to the Warrant Agreement (as defined below), dated March 3, 2021 between the Issuer and Continental Stock Transfer & Trust Company (the "Warrant Agent"), of the Issuer's outstanding warrants (the "Warrants") for shares of the Issuer's common stock at an exchange ratio of 0.263 shares of common stock per Warrant, which became effective on April 12, 2021, the next business day following the twentieth calendar day after the mailing of the Information Statement to the holders of the Warrants. F6: Pursuant to the warrant agreement (the "Warrant Agreement") dated as of April 8, 2019, by and between the Issuer (f/k/a B. Riley Principal Merger Corp., or BRPM) and the Warrant Agent, the Warrants originally became exercisable on April 11, 2020, which was 12 months from the closing of the initial public offering of the Issuer. F7: Pursuant to the Warrant Agreement, the Warrants were originally set to expire five years after the completion of the business combination or earlier upon redemption or liquidation, as further described in the Prospectus filed by BRPM with the SEC on April 9, 2019. F1: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company, a registered investment advisor ("BRCM"), B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI") and Bryant R. Riley. F2: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. 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. BRPI is the sole member of the Sponsor. BRF is the parent company of BRS and BRPI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS and BPRI. As a result, BRF and BRPI may be deemed to indirectly beneficially own the shares held by the Sponsor. F3: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRF, BRS, BRPLP and the Sponsor. Each of BRF, BRS, BRPGP, BRCM, BRPLP, the Sponsor, and BRPI (collectively, the "B. Riley Entities") and Bryant R. Riley disclaims beneficial ownership of the outstanding shares of Common Stock reported herein, except to the extent of its/his respective pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | Direct | 211,174 |
Reported balance
Holding disclosure · report date 2021-04-12 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 211,174 F4: Represents shares held directly by Bryant R. Riley. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company, a registered investment advisor ("BRCM"), B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI") and Bryant R. Riley.
F2: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. 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. BRPI is the sole member of the Sponsor. BRF is the parent company of BRS and BRPI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS and BPRI. As a result, BRF and BRPI may be deemed to indirectly beneficially own the shares held by the Sponsor.
F3: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRF, BRS, BRPLP and the Sponsor. Each of BRF, BRS, BRPGP, BRCM, BRPLP, the Sponsor, and BRPI (collectively, the "B. Riley Entities") and Bryant R. Riley disclaims beneficial ownership of the outstanding shares of Common Stock reported herein, except to the extent of its/his respective pecuniary interest therein.
F4: Represents shares held directly by Bryant R. Riley.
F5: As reported in the Current Report on Form 8-K filed by Alta Equipment Group Inc. (the "Issuer") with the Securities and Exchange Commission (the "SEC") on March 22, 2021, on March 22, 2021, the Issuer filed a definitive Schedule 14C Information Statement (the "Information Statement") with the SEC describing the mandatory exchange, pursuant to Amendment No. 1 to the Warrant Agreement (as defined below), dated March 3, 2021 between the Issuer and Continental Stock Transfer & Trust Company (the "Warrant Agent"), of the Issuer's outstanding warrants (the "Warrants") for shares of the Issuer's common stock at an exchange ratio of 0.263 shares of common stock per Warrant, which became effective on April 12, 2021, the next business day following the twentieth calendar day after the mailing of the Information Statement to the holders of the Warrants.
F6: Pursuant to the warrant agreement (the "Warrant Agreement") dated as of April 8, 2019, by and between the Issuer (f/k/a B. Riley Principal Merger Corp., or BRPM) and the Warrant Agent, the Warrants originally became exercisable on April 11, 2020, which was 12 months from the closing of the initial public offering of the Issuer.
F7: Pursuant to the Warrant Agreement, the Warrants were originally set to expire five years after the completion of the business combination or earlier upon redemption or liquidation, as further described in the Prospectus filed by BRPM with the SEC on April 9, 2019.
Transaction history
JSON APIPurchases/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 | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 10, 2020 Filed Apr 27, 2020 22:39 UTC Amendment | ALTA EQUIPMENT GROUP INC. ALTG · Entity 6371 | PurchaseClass A Common Stock | 94,151 | $10.14 | $954,691.14 |
DisclosureSEC source: 0001213900-20-010211 · 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 FBR, Inc. · CIK 0001505748 · 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: 0 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") 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"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: The shares of the Issuer purchased or sold in the listed transactions were held directly by BRFBR. 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. F3 · ownership.nature: BRFBR is a FINRA registered broker dealer and market maker. The transactions reported herein reflect executions in which BRFBR had no direct or indirect beneficial interest. Such transactions were executed in furtherance of BRFBR's bona-fide market making activities. As part of its bona-fide market making activities, BRFBR may hold long or short positions overnight. Read SEC document |
| January 10, 2020 Filed Apr 27, 2020 22:39 UTC Amendment | ALTA EQUIPMENT GROUP INC. ALTG · Entity 6371 | SaleClass A Common Stock | 27,600 | $10.13 | $279,588.00 |
DisclosureSEC source: 0001213900-20-010211 · 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 FBR, Inc. · CIK 0001505748 · 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: 0 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") 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"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: The shares of the Issuer purchased or sold in the listed transactions were held directly by BRFBR. 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. F3 · ownership.nature: BRFBR is a FINRA registered broker dealer and market maker. The transactions reported herein reflect executions in which BRFBR had no direct or indirect beneficial interest. Such transactions were executed in furtherance of BRFBR's bona-fide market making activities. As part of its bona-fide market making activities, BRFBR may hold long or short positions overnight. Read SEC document |
| January 10, 2020 Filed Apr 27, 2020 22:39 UTC Amendment | ALTA EQUIPMENT GROUP INC. ALTG · Entity 6371 | SaleClass A Common Stock | 126,571 | $10.12 | $1,280,898.52 |
DisclosureSEC source: 0001213900-20-010211 · 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 FBR, Inc. · CIK 0001505748 · 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: 0 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") 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"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: The shares of the Issuer purchased or sold in the listed transactions were held directly by BRFBR. 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. F3 · ownership.nature: BRFBR is a FINRA registered broker dealer and market maker. The transactions reported herein reflect executions in which BRFBR had no direct or indirect beneficial interest. Such transactions were executed in furtherance of BRFBR's bona-fide market making activities. As part of its bona-fide market making activities, BRFBR may hold long or short positions overnight. Read SEC document |
| January 09, 2020 Filed Jan 14, 2020 23:35 UTC | ALTA EQUIPMENT GROUP INC. BRPM · Entity 6371 | SaleClass A Common Stock | 6 | $10.12 | $60.72 |
DisclosureSEC source: 0001213900-20-001022 · 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 FBR, Inc. · CIK 0001505748 · 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: 0 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") 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 B. Riley Principal Merger Corp, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: The shares of the Issuer purchased or sold in the listed transactions were held directly by BRFBR. 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. F3 · ownership.nature: BRFBR is a FINRA registered broker dealer and market maker. The transactions reported herein reflect executions in which BRFBR had no direct or indirect beneficial interest. Such transactions were executed in furtherance of BRFBR's bona-fide market making activities. As part of its bona-fide market making activities, BRFBR may hold long or short positions overnight. Read SEC document |
| January 09, 2020 Filed Apr 27, 2020 22:39 UTC Amendment | ALTA EQUIPMENT GROUP INC. ALTG · Entity 6371 | SaleClass A Common Stock | 6 | $10.12 | $60.72 |
DisclosureSEC source: 0001213900-20-010211 · 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 FBR, Inc. · CIK 0001505748 · 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: 0 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") 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"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: The shares of the Issuer purchased or sold in the listed transactions were held directly by BRFBR. 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. F3 · ownership.nature: BRFBR is a FINRA registered broker dealer and market maker. The transactions reported herein reflect executions in which BRFBR had no direct or indirect beneficial interest. Such transactions were executed in furtherance of BRFBR's bona-fide market making activities. As part of its bona-fide market making activities, BRFBR may hold long or short positions overnight. Read SEC document |
| June 06, 2019 Filed Aug 16, 2019 20:53 UTC | ALTA EQUIPMENT GROUP INC. BRPM · Entity 6371 | SaleWarrants (right to buy) · Derivative | 100 | $0.64 Strike: $11.50 | $64.00 |
DisclosureSEC source: 0001213900-19-016193 · ownership.xml · derivative · entry 5 B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 24,200 Underlying: Class A Common Stock · 100 shares Expires not disclosed F1 · derivative.exercise_date: The Warrants will become exercisable on the later of (a) 30 days after the completion of an Initial Business Combination (as further described in the Prospectus filed by B. Riley Principal Merger Corp. with the Securities and Exchange Commission on April 9, 2019 (the "Prospectus")) or (b) on April 11, 2020, which is 12 months from the closing of the initial public offering of the Issuer. F2 · derivative.expiration_date: The Warrants will expire five years after the completion of the Initial Business Combination or earlier upon redemption or liquidation, as further described in the Prospectus. F3 · ownership.nature: B. Riley FBR, Inc. ("BRFBR") is the direct owner of the warrants. B. Riley Financial, Inc. ("BRF") is the parent company of BRFBR and the sole member of the managing member of B. Riley Principal Sponsor Co., LLC (the "Sponsor") and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. Read SEC document |
| May 22, 2019 Filed Aug 16, 2019 20:53 UTC | ALTA EQUIPMENT GROUP INC. BRPM · Entity 6371 | SaleWarrants (right to buy) · Derivative | 200 | $0.65 Strike: $11.50 | $130.00 |
DisclosureSEC source: 0001213900-19-016193 · ownership.xml · derivative · entry 4 B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 24,300 Underlying: Class A Common Stock · 200 shares Expires not disclosed F1 · derivative.exercise_date: The Warrants will become exercisable on the later of (a) 30 days after the completion of an Initial Business Combination (as further described in the Prospectus filed by B. Riley Principal Merger Corp. with the Securities and Exchange Commission on April 9, 2019 (the "Prospectus")) or (b) on April 11, 2020, which is 12 months from the closing of the initial public offering of the Issuer. F2 · derivative.expiration_date: The Warrants will expire five years after the completion of the Initial Business Combination or earlier upon redemption or liquidation, as further described in the Prospectus. F3 · ownership.nature: B. Riley FBR, Inc. ("BRFBR") is the direct owner of the warrants. B. Riley Financial, Inc. ("BRF") is the parent company of BRFBR and the sole member of the managing member of B. Riley Principal Sponsor Co., LLC (the "Sponsor") and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. Read SEC document |
| May 16, 2019 Filed Aug 16, 2019 20:53 UTC | ALTA EQUIPMENT GROUP INC. BRPM · Entity 6371 | SaleWarrants (right to buy) · Derivative | 200 | $0.67 Strike: $11.50 | $134.00 |
DisclosureSEC source: 0001213900-19-016193 · ownership.xml · derivative · entry 3 B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 24,500 Underlying: Class A Common Stock · 200 shares Expires not disclosed F1 · derivative.exercise_date: The Warrants will become exercisable on the later of (a) 30 days after the completion of an Initial Business Combination (as further described in the Prospectus filed by B. Riley Principal Merger Corp. with the Securities and Exchange Commission on April 9, 2019 (the "Prospectus")) or (b) on April 11, 2020, which is 12 months from the closing of the initial public offering of the Issuer. F2 · derivative.expiration_date: The Warrants will expire five years after the completion of the Initial Business Combination or earlier upon redemption or liquidation, as further described in the Prospectus. F3 · ownership.nature: B. Riley FBR, Inc. ("BRFBR") is the direct owner of the warrants. B. Riley Financial, Inc. ("BRF") is the parent company of BRFBR and the sole member of the managing member of B. Riley Principal Sponsor Co., LLC (the "Sponsor") and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. Read SEC document |
| May 16, 2019 Filed Aug 16, 2019 20:53 UTC | ALTA EQUIPMENT GROUP INC. BRPM · Entity 6371 | SaleWarrants (right to buy) · Derivative | 300 | $0.67 Strike: $11.50 | $201.00 |
DisclosureSEC source: 0001213900-19-016193 · ownership.xml · derivative · entry 2 B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 24,700 Underlying: Class A Common Stock · 300 shares Expires not disclosed F1 · derivative.exercise_date: The Warrants will become exercisable on the later of (a) 30 days after the completion of an Initial Business Combination (as further described in the Prospectus filed by B. Riley Principal Merger Corp. with the Securities and Exchange Commission on April 9, 2019 (the "Prospectus")) or (b) on April 11, 2020, which is 12 months from the closing of the initial public offering of the Issuer. F2 · derivative.expiration_date: The Warrants will expire five years after the completion of the Initial Business Combination or earlier upon redemption or liquidation, as further described in the Prospectus. F3 · ownership.nature: B. Riley FBR, Inc. ("BRFBR") is the direct owner of the warrants. B. Riley Financial, Inc. ("BRF") is the parent company of BRFBR and the sole member of the managing member of B. Riley Principal Sponsor Co., LLC (the "Sponsor") and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. Read SEC document |
| April 30, 2019 Filed Aug 16, 2019 20:53 UTC | ALTA EQUIPMENT GROUP INC. BRPM · Entity 6371 | PurchaseWarrants (right to buy) · Derivative | 25,000 | $0.65 Strike: $11.50 | $16,250.00 |
DisclosureSEC source: 0001213900-19-016193 · ownership.xml · derivative · entry 1 B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 25,000 Underlying: Class A Common Stock · 25,000 shares Expires not disclosed F1 · derivative.exercise_date: The Warrants will become exercisable on the later of (a) 30 days after the completion of an Initial Business Combination (as further described in the Prospectus filed by B. Riley Principal Merger Corp. with the Securities and Exchange Commission on April 9, 2019 (the "Prospectus")) or (b) on April 11, 2020, which is 12 months from the closing of the initial public offering of the Issuer. F2 · derivative.expiration_date: The Warrants will expire five years after the completion of the Initial Business Combination or earlier upon redemption or liquidation, as further described in the Prospectus. F3 · ownership.nature: B. Riley FBR, Inc. ("BRFBR") is the direct owner of the warrants. B. Riley Financial, Inc. ("BRF") is the parent company of BRFBR and the sole member of the managing member of B. Riley Principal Sponsor Co., LLC (the "Sponsor") and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. Read SEC document |
| April 12, 2019 Filed Apr 12, 2019 23:02 UTC | ALTA EQUIPMENT GROUP INC. BRPM · Entity 6371 | OtherClass A Common Stock | 37,500 | $10.00 | $375,000.00 |
DisclosureSEC source: 0001615774-19-005729 · s117410_form4.xml · nonDerivative · entry 1 B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. Riley Financial, Inc. · CIK 0001464790 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote. Disclosed balance after: 462,500 F1 · kind: The reported shares of Class A Common Stock are within 37,500 of the Issuer's Private Placement Units, as described under the heading "Description of Securities " in the Issuer's registration statement on Form S-1 (File No. 333- 230286), purchased by the Reporting Persons for $10.00 per Private Placement Unit in connection with the exercise by the underwriters of their over-allotment option in full. F2 · ownership.direct: B. Riley Financial, Inc. ("BRF") is the sole member of the managing member of B. Riley Principal Sponsor Co., LLC (the "Sponsor") and has voting and dispositive power over the securities held by the Sponsor. BRF disclaims beneficial ownership over any securities directly held by the Sponsor other than to the extent of any pecuniary interest it may have therein, directly or indirectly. Read SEC document |
| April 08, 2019 Filed Apr 12, 2019 00:18 UTC | ALTA EQUIPMENT GROUP INC. BRPM · Entity 6371 | OtherClass A Common Stock | 425,000 | $10.00 | $4,250,000.00 |
DisclosureSEC source: 0001615774-19-005665 · s117395_form4.xml · nonDerivative · entry 1 B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. Riley Financial, Inc. · CIK 0001464790 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote. Disclosed balance after: 425,000 F1 · kind: The reported shares of Class A Common Stock are within 425,000 of the Issuer's Private Placement Units, as described under the heading "Description of Securities " in the Issuer's registration statement on Form S-1 (File No. 333- 230286), purchased by the Reporting Persons for $10.00 per Private Placement Unit. F2 · ownership.direct: B. Riley Financial, Inc. ("BRF") is the sole member of the managing member of B. Riley Principal Sponsor Co., LLC (the "Sponsor") and has voting and dispositive power over the securities held by the Sponsor. BRF disclaims beneficial ownership over any securities directly held by the Sponsor other than to the extent of any pecuniary interest it may have therein, directly or indirectly. 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.