Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BIOMERICA INCBMRA · Entity 8171 | 10% owner | August 25, 2026 | September 10, 2026 |
| BRC Group Holdings, Inc.RILY · Entity 6050 | Director · Chairman and Co-CEO · 10% owner | June 16, 2026 | June 17, 2026 |
| Babcock & Wilcox Enterprises, Inc.BW · Entity 4934 | 10% owner | February 11, 2026 | February 13, 2026 |
| Select Interior Concepts, Inc.SIC · Entity 134274 | Director · 10% owner | June 10, 2021 | June 11, 2021 |
| TILE SHOP HOLDINGS, INC.TTSH · Entity 9564 | See Remarks | January 29, 2021 | February 02, 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.
BIOMERICA INC
Report date August 25, 2026 · Filed September 10, 2026
Jointly reported with BRC Group Holdings, Inc., B. RILEY Principal Capital, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.08 par value per shareSEC Table I · non-derivative | IndirectSee footnotes 1 and 2 | 460,080 |
Reported balance
Holding disclosure · report date 2026-08-25 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 460,080 F1: On August 25, 2026, B. Riley Principal Capital, LLC, a subsidiary of BRC Group Holdings, Inc. a Delaware corporation ("BRC") acquired 460,080 shares of the Issuer's common stock at a purchase price of $1.60 per share in private placement by the Issuer pursuant to the terms of a Securities Purchase Agreement dated August 20, 2026, by and among certain institutional and individual investors identified on the signature pages thereto. F2: This Form 3 is being filed jointly by BRC, B. Riley Principal Capital, LLC, a Delaware limited liability company ("BRPC") and Bryant R. Riley. BRC is the majority holder of B. Riley Securities Holdings, Inc. which is the parent company of BRPC. As a result, BRC may be deemed to indirectly beneficially own the shares held by BRPC. Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRC. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRPC. Each of BRC, BRPC 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. |
Filing footnotes · ownership attribution and instrument terms
F1: On August 25, 2026, B. Riley Principal Capital, LLC, a subsidiary of BRC Group Holdings, Inc. a Delaware corporation ("BRC") acquired 460,080 shares of the Issuer's common stock at a purchase price of $1.60 per share in private placement by the Issuer pursuant to the terms of a Securities Purchase Agreement dated August 20, 2026, by and among certain institutional and individual investors identified on the signature pages thereto.
F2: This Form 3 is being filed jointly by BRC, B. Riley Principal Capital, LLC, a Delaware limited liability company ("BRPC") and Bryant R. Riley. BRC is the majority holder of B. Riley Securities Holdings, Inc. which is the parent company of BRPC. As a result, BRC may be deemed to indirectly beneficially own the shares held by BRPC. Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRC. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRPC. Each of BRC, BRPC 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.
BRC Group Holdings, Inc.
Report date June 16, 2026 · Filed June 17, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 6,574,236 |
Reported balance
After 2026-06-16 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-06-16 · Sale · Disposed 195,492 · Balance 6,574,236 F1: Represents shares sold in an open market transaction. F2: Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife. |
| Common StockSEC Table I · non-derivative | IndirectUTMA ACCOUNT OF S.R. | 17,538 |
Reported balance
Holding disclosure · report date 2026-06-16 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 17,538 F3: The shares are held for S.R., the child of the Reporting Person, through a custodial account established pursuant to the Uniform Transfer to Minors Act ("UTMA") for which the Reporting Person serves as custodian. F8: The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectUTMA ACCOUNT OF C.R. | 17,538 |
Reported balance
Holding disclosure · report date 2026-06-16 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 17,538 F4: The shares are held for C.R., the child of the Reporting Person, through a custodial account established pursuant to the UTMA for which the Reporting Person serves as custodian. F8: The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectUTMA ACCOUNT OF A.R. | 17,538 |
Reported balance
Holding disclosure · report date 2026-06-16 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 17,538 F5: The shares are held for A.R., the child of the Reporting Person, through a custodial account established pursuant to the UTMA for which the Reporting Person serves as custodian. F8: The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectUTMA ACCOUNT OF E.R. | 17,537 |
Reported balance
Holding disclosure · report date 2026-06-16 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 17,537 F6: The shares are held for E.R., the child of the Reporting Person, through a custodial account established pursuant to the UTMA for which the Reporting Person serves as custodian. F8: The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectBy B.Riley Financial, Inc. 401(k) Profit Sharing Plan FBO Bryant Riley | 128,918 |
Reported balance
Holding disclosure · report date 2026-06-16 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 128,918 F7: B. Riley Financial, Inc. 401(k) Profit Sharing Plan FBO Bryant Riley was formerly known as "B. Riley & Co., LLC 401(k) Profit Sharing Plan FBO Bryant Riley." |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares sold in an open market transaction.
F2: Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife.
F3: The shares are held for S.R., the child of the Reporting Person, through a custodial account established pursuant to the Uniform Transfer to Minors Act ("UTMA") for which the Reporting Person serves as custodian.
F4: The shares are held for C.R., the child of the Reporting Person, through a custodial account established pursuant to the UTMA for which the Reporting Person serves as custodian.
F5: The shares are held for A.R., the child of the Reporting Person, through a custodial account established pursuant to the UTMA for which the Reporting Person serves as custodian.
F6: The shares are held for E.R., the child of the Reporting Person, through a custodial account established pursuant to the UTMA for which the Reporting Person serves as custodian.
F7: B. Riley Financial, Inc. 401(k) Profit Sharing Plan FBO Bryant Riley was formerly known as "B. Riley & Co., LLC 401(k) Profit Sharing Plan FBO Bryant Riley."
F8: The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose.
Babcock & Wilcox Enterprises, Inc.
Report date February 11, 2026 · Filed February 13, 2026
Jointly reported with BRC Group Holdings, Inc., BRF Investments, LLC, B. Riley Securities, Inc.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.01 par value per shareSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2026-02-11 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2026-02-11 · Sale · Disposed 1,155,382 · Balance 0 F3: Represents shares held directly by Bryant R. Riley that were sold to satisfy repayment of debt as further described in Schedule 13D. |
| Common Stock, $0.01 par value per shareSEC Table I · non-derivative | IndirectBy BRF Investments, LLC | 11,873,160 |
Reported balance
Holding disclosure · report date 2026-02-11 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 11,873,160 F1: This Form 4 is being filed jointly by BRC Group Holdings, Inc., a Delaware corporation ("BRC"), BRF Investments, LLC ("BRFI"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), and Bryant R. Riley. F2: BRC is the parent company of BRFI and the majority shareholder of B. Riley Securities Holdings, Inc. ("BRSH"). BRS is a wholly owned subsidiary of BRSH. As a result, BRC may be deemed to indirectly beneficially own the shares held by BRFI and BRS. Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRC. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRFI and BRS. Each of BRC, BRFI, BRS, 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 Stock, $0.01 par value per shareSEC Table I · non-derivative | IndirectBy B. Riley Securities, Inc. | 15,573,362 |
Reported balance
Holding disclosure · report date 2026-02-11 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 15,573,362 F1: This Form 4 is being filed jointly by BRC Group Holdings, Inc., a Delaware corporation ("BRC"), BRF Investments, LLC ("BRFI"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), and Bryant R. Riley. F2: BRC is the parent company of BRFI and the majority shareholder of B. Riley Securities Holdings, Inc. ("BRSH"). BRS is a wholly owned subsidiary of BRSH. As a result, BRC may be deemed to indirectly beneficially own the shares held by BRFI and BRS. Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRC. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRFI and BRS. Each of BRC, BRFI, BRS, 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 Stock, $0.01 par value per shareSEC Table I · non-derivative | IndirectHeld in Bryant R. Riley's 401(k)account | 37,353 |
Reported balance
Holding disclosure · report date 2026-02-11 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 37,353 F1: This Form 4 is being filed jointly by BRC Group Holdings, Inc., a Delaware corporation ("BRC"), BRF Investments, LLC ("BRFI"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), and Bryant R. Riley. F2: BRC is the parent company of BRFI and the majority shareholder of B. Riley Securities Holdings, Inc. ("BRSH"). BRS is a wholly owned subsidiary of BRSH. As a result, BRC may be deemed to indirectly beneficially own the shares held by BRFI and BRS. Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRC. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRFI and BRS. Each of BRC, BRFI, BRS, 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 Stock, $0.01 par value per shareSEC Table I · non-derivative | IndirectBy Bryant R. Riley, as UTMA custodian for Charlie Riley | 45,801 |
Reported balance
Holding disclosure · report date 2026-02-11 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 45,801 F1: This Form 4 is being filed jointly by BRC Group Holdings, Inc., a Delaware corporation ("BRC"), BRF Investments, LLC ("BRFI"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), and Bryant R. Riley. F2: BRC is the parent company of BRFI and the majority shareholder of B. Riley Securities Holdings, Inc. ("BRSH"). BRS is a wholly owned subsidiary of BRSH. As a result, BRC may be deemed to indirectly beneficially own the shares held by BRFI and BRS. Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRC. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRFI and BRS. Each of BRC, BRFI, BRS, 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 Stock, $0.01 par value per shareSEC Table I · non-derivative | IndirectBy Bryant R. Riley, as UTMA custodian for Susan Riley | 43,810 |
Reported balance
Holding disclosure · report date 2026-02-11 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 43,810 F1: This Form 4 is being filed jointly by BRC Group Holdings, Inc., a Delaware corporation ("BRC"), BRF Investments, LLC ("BRFI"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), and Bryant R. Riley. F2: BRC is the parent company of BRFI and the majority shareholder of B. Riley Securities Holdings, Inc. ("BRSH"). BRS is a wholly owned subsidiary of BRSH. As a result, BRC may be deemed to indirectly beneficially own the shares held by BRFI and BRS. Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRC. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRFI and BRS. Each of BRC, BRFI, BRS, 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 Stock, $0.01 par value per shareSEC Table I · non-derivative | IndirectBy Bryant R. Riley, as UTMA custodian for Abigail Riley | 45,436 |
Reported balance
Holding disclosure · report date 2026-02-11 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 45,436 F1: This Form 4 is being filed jointly by BRC Group Holdings, Inc., a Delaware corporation ("BRC"), BRF Investments, LLC ("BRFI"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), and Bryant R. Riley. F2: BRC is the parent company of BRFI and the majority shareholder of B. Riley Securities Holdings, Inc. ("BRSH"). BRS is a wholly owned subsidiary of BRSH. As a result, BRC may be deemed to indirectly beneficially own the shares held by BRFI and BRS. Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRC. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRFI and BRS. Each of BRC, BRFI, BRS, 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 Stock, $0.01 par value per shareSEC Table I · non-derivative | IndirectBy Bryant R. Riley, as UTMA custodian for Eloise Riley | 45,431 |
Reported balance
Holding disclosure · report date 2026-02-11 · row 8
Holding and transaction disclosures are not merged.
1 source rowRow 8 · Balance 45,431 F1: This Form 4 is being filed jointly by BRC Group Holdings, Inc., a Delaware corporation ("BRC"), BRF Investments, LLC ("BRFI"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), and Bryant R. Riley. F2: BRC is the parent company of BRFI and the majority shareholder of B. Riley Securities Holdings, Inc. ("BRSH"). BRS is a wholly owned subsidiary of BRSH. As a result, BRC may be deemed to indirectly beneficially own the shares held by BRFI and BRS. Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRC. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRFI and BRS. Each of BRC, BRFI, BRS, 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. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 is being filed jointly by BRC Group Holdings, Inc., a Delaware corporation ("BRC"), BRF Investments, LLC ("BRFI"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), and Bryant R. Riley.
F2: BRC is the parent company of BRFI and the majority shareholder of B. Riley Securities Holdings, Inc. ("BRSH"). BRS is a wholly owned subsidiary of BRSH. As a result, BRC may be deemed to indirectly beneficially own the shares held by BRFI and BRS. Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRC. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRFI and BRS. Each of BRC, BRFI, BRS, 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.
F3: Represents shares held directly by Bryant R. Riley that were sold to satisfy repayment of debt as further described in Schedule 13D.
Select Interior Concepts, Inc.
Report date June 10, 2021 · Filed June 11, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 24,407 |
Reported balance
After 2021-06-10 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2021-06-10 · Grant · Acquired 5,289 · Balance 24,407 F4: Reflects annual equity grant of restricted stock units that vest on the date of the Issuer's annual meeting of stockholders in 2022. F3: Represents shares held directly by Bryant R. Riley. |
| Class A Common StockSEC Table I · non-derivative | IndirectBy BRC Partners Opportunity Fund, LP | 485,543 |
Reported balance
Holding disclosure · report date 2021-06-10 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 485,543 F1: This Form 4 is being filed by Bryant R. Riley. BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), is a subsidiary of B. Riley Capital Management, LLC, a New York limited liability company and registered investment advisor ("BRCM"), and is the general partner of BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"). B. Riley Financial, Inc., a Delaware corporation ("BRF"), is the parent company of BRCM. As a result, BRF and BRCM may be deemed to indirectly beneficially own the shares held by BRPLP. BRF is the parent company of B. Riley Securities, Inc., a Delaware corporation ("BRS"). As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS. F2: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. Accordingly, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock held by BRPLP and BRS. Each of Bryant R. Riley, BRF, BRS, BRPGP, BRCM and BRPLP disclaims beneficial ownership of the outstanding shares of Common Stock reported herein, except to the extent of its/his respective pecuniary interest therein. |
| Class A Common StockSEC Table I · non-derivative | IndirectBy B. Riley Securities, Inc. | 2,762,457 |
Reported balance
Holding disclosure · report date 2021-06-10 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 2,762,457 F1: This Form 4 is being filed by Bryant R. Riley. BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), is a subsidiary of B. Riley Capital Management, LLC, a New York limited liability company and registered investment advisor ("BRCM"), and is the general partner of BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"). B. Riley Financial, Inc., a Delaware corporation ("BRF"), is the parent company of BRCM. As a result, BRF and BRCM may be deemed to indirectly beneficially own the shares held by BRPLP. BRF is the parent company of B. Riley Securities, Inc., a Delaware corporation ("BRS"). As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS. F2: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. Accordingly, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock held by BRPLP and BRS. Each of Bryant R. Riley, BRF, BRS, BRPGP, BRCM and BRPLP disclaims beneficial ownership of the outstanding shares of Common Stock reported herein, except to the extent of its/his respective pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 is being filed by Bryant R. Riley. BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), is a subsidiary of B. Riley Capital Management, LLC, a New York limited liability company and registered investment advisor ("BRCM"), and is the general partner of BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"). B. Riley Financial, Inc., a Delaware corporation ("BRF"), is the parent company of BRCM. As a result, BRF and BRCM may be deemed to indirectly beneficially own the shares held by BRPLP. BRF is the parent company of B. Riley Securities, Inc., a Delaware corporation ("BRS"). As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS.
F2: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. Accordingly, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock held by BRPLP and BRS. Each of Bryant R. Riley, BRF, BRS, BRPGP, BRCM and BRPLP disclaims beneficial ownership of the outstanding shares of Common Stock reported herein, except to the extent of its/his respective pecuniary interest therein.
F3: Represents shares held directly by Bryant R. Riley.
F4: Reflects annual equity grant of restricted stock units that vest on the date of the Issuer's annual meeting of stockholders in 2022.
TILE SHOP HOLDINGS, INC.
Report date January 29, 2021 · Filed February 02, 2021
Jointly reported with BRC Group Holdings, Inc., BRC Partners Opportunity Fund, LP, BRC Partners Management GP, LLC, B. RILEY CAPITAL MANAGEMENT, LLC, B. Riley Securities, Inc.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy B. Riley Securities, Inc. | 2,328,900 |
Reported balance
After 2021-01-29 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-01-29 · Purchase · Acquired 7,400 · Balance 2,328,900 F1: This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), and B. Riley Securities, Inc., a Delaware corporation ("BRS"), (collectively, the "Reporting Persons"). Each of the Reporting Persons disclaims beneficial ownership of the shares of Common Stock of the Issuer reported herein except to the extent of its pecuniary interest therein. F2: BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), is a subsidiary of B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, each of BRPGP, BRCM and BRF may be deemed to beneficially own the shares of Common Stock owned directly by BRPLP. BRF is the parent company of BRS. As a result, BRF may be deemed to beneficially own the shares of Common Stock owned directly by BRS. F3: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. Accordingly, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock held by BRPLP and BRS. Each of Bryant R. Riley, BRF, BRS, BRPGP, BRCM and BRPLP 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. | 2,038,645 |
Reported balance
Holding disclosure · report date 2021-01-29 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 2,038,645 F1: This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), and B. Riley Securities, Inc., a Delaware corporation ("BRS"), (collectively, the "Reporting Persons"). Each of the Reporting Persons disclaims beneficial ownership of the shares of Common Stock of the Issuer reported herein except to the extent of its pecuniary interest therein. F2: BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), is a subsidiary of B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, each of BRPGP, BRCM and BRF may be deemed to beneficially own the shares of Common Stock owned directly by BRPLP. BRF is the parent company of BRS. As a result, BRF may be deemed to beneficially own the shares of Common Stock owned directly by BRS. F3: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. Accordingly, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock held by BRPLP and BRS. Each of Bryant R. Riley, BRF, BRS, BRPGP, BRCM and BRPLP disclaims beneficial ownership of the outstanding shares of Common Stock reported herein, except to the extent of its/his respective pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), and B. Riley Securities, Inc., a Delaware corporation ("BRS"), (collectively, the "Reporting Persons"). Each of the Reporting Persons disclaims beneficial ownership of the shares of Common Stock of the Issuer reported herein except to the extent of its pecuniary interest therein.
F2: BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), is a subsidiary of B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, each of BRPGP, BRCM and BRF may be deemed to beneficially own the shares of Common Stock owned directly by BRPLP. BRF is the parent company of BRS. As a result, BRF may be deemed to beneficially own the shares of Common Stock owned directly by BRS.
F3: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. Accordingly, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock held by BRPLP and BRS. Each of Bryant R. Riley, BRF, BRS, BRPGP, BRCM and BRPLP disclaims beneficial ownership of the outstanding shares of Common Stock reported herein, except to the extent of its/his respective pecuniary interest therein.
Past disclosures · reporting ended (12)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
ALTA EQUIPMENT GROUP INC.
Report date February 07, 2024 · Filed February 10, 2024
Jointly reported with BRC Group Holdings, Inc., B. Riley Securities, Inc., BRF Investments, LLC
Section 16 reporting ended · disclosed 2024-02-10. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy BRF Investments, LLC | 0 |
Reported balance
After 2024-02-07 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2024-02-07 · Sale · Disposed 2,449,629 · Balance 0 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"), BRF Investments, LLC, a Delaware limited liability company ("BRFI"), and Bryant R. Riley. F2: BRF is the parent company of BRS and BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS and BRFI. 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 BRS and BRFI. Each of BRF, BRS, BRFI, 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 Securities, Inc. | 0 |
Last balance in matching sequence
After 2024-02-08 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 2 · 2024-02-07 · Sale · Disposed 307,679 · Balance 852,455 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"), BRF Investments, LLC, a Delaware limited liability company ("BRFI"), and Bryant R. Riley. F2: BRF is the parent company of BRS and BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS and BRFI. 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 BRS and BRFI. Each of BRF, BRS, BRFI, 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. Row 3 · 2024-02-08 · Sale · Disposed 852,455 · Balance 0 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"), BRF Investments, LLC, a Delaware limited liability company ("BRFI"), and Bryant R. Riley. F2: BRF is the parent company of BRS and BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS and BRFI. 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 BRS and BRFI. Each of BRF, BRS, BRFI, 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 | 211,175 |
Reported balance
Holding disclosure · report date 2024-02-07 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 211,175 F5: Represents the removal of 211,174 shares that were initially reported inadvertently on Form 4 filed April 12, 2021 despite being previously sold. F6: Represents the removal of 202,247 shares that were inadvertently reported that are not deemed to be beneficially owned by the Reporting Persons. F4: Represents shares held directly by Bryant R. Riley. |
| Common StockSEC Table I · non-derivative | IndirectBy Bryant R. Riley, as UTMA custodian for Charlie Riley | 1,062 |
Reported balance
Holding disclosure · report date 2024-02-07 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 1,062 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"), BRF Investments, LLC, a Delaware limited liability company ("BRFI"), and Bryant R. Riley. 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 BRS and BRFI. Each of BRF, BRS, BRFI, 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 Bryant R. Riley, as UTMA custodian for Susan Riley | 1,062 |
Reported balance
Holding disclosure · report date 2024-02-07 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 1,062 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"), BRF Investments, LLC, a Delaware limited liability company ("BRFI"), and Bryant R. Riley. 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 BRS and BRFI. Each of BRF, BRS, BRFI, 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 Bryant R. Riley, as UTMA custodian for Abigail Riley | 1,062 |
Reported balance
Holding disclosure · report date 2024-02-07 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 1,062 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"), BRF Investments, LLC, a Delaware limited liability company ("BRFI"), and Bryant R. Riley. 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 BRS and BRFI. Each of BRF, BRS, BRFI, 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 Bryant R. Riley, as UTMA custodian for Eloise Riley | 1,062 |
Reported balance
Holding disclosure · report date 2024-02-07 · row 8
Holding and transaction disclosures are not merged.
1 source rowRow 8 · Balance 1,062 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"), BRF Investments, LLC, a Delaware limited liability company ("BRFI"), and Bryant R. Riley. 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 BRS and BRFI. Each of BRF, BRS, BRFI, 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. |
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"), BRF Investments, LLC, a Delaware limited liability company ("BRFI"), and Bryant R. Riley.
F2: BRF is the parent company of BRS and BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS and BRFI.
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 BRS and BRFI. Each of BRF, BRS, BRFI, 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: Represents the removal of 211,174 shares that were initially reported inadvertently on Form 4 filed April 12, 2021 despite being previously sold.
F6: Represents the removal of 202,247 shares that were inadvertently reported that are not deemed to be beneficially owned by the Reporting Persons.
B. Riley Principal 250 Merger Corp.
Report date June 02, 2023 · Filed June 02, 2023
Jointly reported with BRC Group Holdings, Inc., B. Riley Principal 250 Sponsor Co., LLC, B. RILEY PRINCIPAL INVESTMENTS, LLC
Section 16 reporting ended · disclosed 2023-06-02. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class B. Common StockSEC Table II · derivative / convertible security | IndirectBy B. Riley Principal 250 Sponsor Co. LLC | 0 |
Reported balance
After 2023-06-02 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2023-06-02 · Disposition to issuer · Disposed 1 · Balance 0 F4: The shares of Class B common stock were convertible for shares of the Issuer's Class A common stock at the time of the Issuer's initial business combination as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333- 253464) (the "Registration Statement") and had no expiration date. F1: On April 21, 2023, the Issuer announced that its board of directors had determined to redeem all of its outstanding shares of Class A common stock sold in the Issuer's initial public offering (the "Public Shares"), effective as of May 4, 2023, because the Issuer will not be able to consummate an initial business combination within the time period required by its amended and restated certificate of incorporation. F2: As of the close of business on May 4, 2023, the Public Shares were deemed cancelled and represented only the rights to receive the per-share redemption price. In connection with the redemption of the Public Shares and anticipated dissolution of the Issuer, on May 4, 2023, B. Riley Principal 250 Sponsor Co., LLC (the "Sponsor") forfeited to the Issuer for no consideration 4,312,499 shares of Class B common stock and 600,000 shares of Class A common stock. In connection with the dissolution of the Issuer, on June 2, 2023, the Sponsor surrendered to the Issuer one share of Class B common stock. F3: B. Riley Principal Investments, LLC ("BRPI") is the managing member of B. Riley Principal 250 Sponsor Co., LLC (the "Sponsor") and is a wholly-owned subsidiary of B. Riley Financial, Inc. ("BRF"). BRPI and BRF had voting and dispositive power over the securities held by the Sponsor. Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. Bryant R. Riley is also the Chairman of the Board of Directors of the Issuer. As a result, each of BRPI, BRF and Bryant R. Riley may be deemed to have indirectly beneficially owned the securities directly held the Sponsor. Each of BRPI, BRF and Bryant R. Riley disclaimed beneficial ownership over any securities directly held by the Sponsor other than to the extent of its/his respective pecuniary interest therein, directly or indirectly. |
Filing footnotes · ownership attribution and instrument terms
F1: On April 21, 2023, the Issuer announced that its board of directors had determined to redeem all of its outstanding shares of Class A common stock sold in the Issuer's initial public offering (the "Public Shares"), effective as of May 4, 2023, because the Issuer will not be able to consummate an initial business combination within the time period required by its amended and restated certificate of incorporation.
F2: As of the close of business on May 4, 2023, the Public Shares were deemed cancelled and represented only the rights to receive the per-share redemption price. In connection with the redemption of the Public Shares and anticipated dissolution of the Issuer, on May 4, 2023, B. Riley Principal 250 Sponsor Co., LLC (the "Sponsor") forfeited to the Issuer for no consideration 4,312,499 shares of Class B common stock and 600,000 shares of Class A common stock. In connection with the dissolution of the Issuer, on June 2, 2023, the Sponsor surrendered to the Issuer one share of Class B common stock.
F3: B. Riley Principal Investments, LLC ("BRPI") is the managing member of B. Riley Principal 250 Sponsor Co., LLC (the "Sponsor") and is a wholly-owned subsidiary of B. Riley Financial, Inc. ("BRF"). BRPI and BRF had voting and dispositive power over the securities held by the Sponsor. Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. Bryant R. Riley is also the Chairman of the Board of Directors of the Issuer. As a result, each of BRPI, BRF and Bryant R. Riley may be deemed to have indirectly beneficially owned the securities directly held the Sponsor. Each of BRPI, BRF and Bryant R. Riley disclaimed beneficial ownership over any securities directly held by the Sponsor other than to the extent of its/his respective pecuniary interest therein, directly or indirectly.
F4: The shares of Class B common stock were convertible for shares of the Issuer's Class A common stock at the time of the Issuer's initial business combination as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333- 253464) (the "Registration Statement") and had no expiration date.
DNA X, Inc.
Report date August 23, 2021 · Filed August 25, 2021
Jointly reported with BRC Group Holdings, Inc., BRC Partners Opportunity Fund, LP, BRC Partners Management GP, LLC, B. RILEY CAPITAL MANAGEMENT, LLC, B. RILEY PRINCIPAL INVESTMENTS, LLC
Section 16 reporting ended · disclosed 2021-08-25. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy BRC Partners Opportunity Fund, L.P. | 2,903,765 |
Last balance in matching sequence
After 2021-08-25 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2021-08-23 · Sale · Disposed 176,482 · Balance 5,563,843 F1: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), 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 Investments, LLC, a Delaware limited liability company ("BRPI"), and Bryant R. Riley. BRPGP is a subsidiary of BRCM and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRPI. F2: 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, BRPLP, and BRPI. Each of BRF, BRPLP, BRPGP, BRCM, 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. Row 2 · 2021-08-24 · Sale · Disposed 1,160,078 · Balance 4,403,765 F1: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), 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 Investments, LLC, a Delaware limited liability company ("BRPI"), and Bryant R. Riley. BRPGP is a subsidiary of BRCM and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRPI. F2: 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, BRPLP, and BRPI. Each of BRF, BRPLP, BRPGP, BRCM, 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. Row 3 · 2021-08-25 · Sale · Disposed 1,500,000 · Balance 2,903,765 F1: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), 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 Investments, LLC, a Delaware limited liability company ("BRPI"), and Bryant R. Riley. BRPGP is a subsidiary of BRCM and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRPI. F2: 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, BRPLP, and BRPI. Each of BRF, BRPLP, BRPGP, BRCM, 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 Investments, LLC | 4,699,252 |
Reported balance
Holding disclosure · report date 2021-08-23 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 4,699,252 F1: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), 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 Investments, LLC, a Delaware limited liability company ("BRPI"), and Bryant R. Riley. BRPGP is a subsidiary of BRCM and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRPI. F2: 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, BRPLP, and BRPI. Each of BRF, BRPLP, BRPGP, BRCM, 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. F3: Represents 1,139,085 shares previously owned directly by BRF and subsequently transferred to its wholly-owned subsidiary BRPI. |
| Common StockSEC Table I · non-derivative | IndirectBy Bryant R. Riley, as UTMA custodian for Susan Riley | 24,303 |
Reported balance
Holding disclosure · report date 2021-08-23 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 24,303 F1: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), 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 Investments, LLC, a Delaware limited liability company ("BRPI"), and Bryant R. Riley. BRPGP is a subsidiary of BRCM and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRPI. F2: 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, BRPLP, and BRPI. Each of BRF, BRPLP, BRPGP, BRCM, 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 Bryant R. Riley, as UTMA custodian for Charlie Riley | 24,303 |
Reported balance
Holding disclosure · report date 2021-08-23 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 24,303 F1: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), 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 Investments, LLC, a Delaware limited liability company ("BRPI"), and Bryant R. Riley. BRPGP is a subsidiary of BRCM and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRPI. F2: 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, BRPLP, and BRPI. Each of BRF, BRPLP, BRPGP, BRCM, 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 Bryant R. Riley, as UTMA custodian for Eloise Riley | 24,303 |
Reported balance
Holding disclosure · report date 2021-08-23 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 24,303 F1: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), 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 Investments, LLC, a Delaware limited liability company ("BRPI"), and Bryant R. Riley. BRPGP is a subsidiary of BRCM and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRPI. F2: 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, BRPLP, and BRPI. Each of BRF, BRPLP, BRPGP, BRCM, 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 Bryant R. Riley, as UTMA custodian for Abigail Riley | 24,302 |
Reported balance
Holding disclosure · report date 2021-08-23 · row 8
Holding and transaction disclosures are not merged.
1 source rowRow 8 · Balance 24,302 F1: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), 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 Investments, LLC, a Delaware limited liability company ("BRPI"), and Bryant R. Riley. BRPGP is a subsidiary of BRCM and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRPI. F2: 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, BRPLP, and BRPI. Each of BRF, BRPLP, BRPGP, BRCM, 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. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), 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 Investments, LLC, a Delaware limited liability company ("BRPI"), and Bryant R. Riley. BRPGP is a subsidiary of BRCM and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRPI.
F2: 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, BRPLP, and BRPI. Each of BRF, BRPLP, BRPGP, BRCM, 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.
F3: Represents 1,139,085 shares previously owned directly by BRF and subsequently transferred to its wholly-owned subsidiary BRPI.
Eos Energy Enterprises, Inc.
Report date August 01, 2022 · Filed August 02, 2022
Jointly reported with BRC Group Holdings, Inc., BRF Investments, LLC
Section 16 reporting ended · disclosed 2022-08-02. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectBy BRF Investments, LLC | 5,369,778 |
Reported balance
Holding disclosure · report date 2022-08-01 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 5,369,778 F1: This Form 4 is being filed jointly by B. Riley Financial, Inc. ("BRF"), BRF Investments, LLC ("BRFI"), and Bryant R. Riley. BRF is the parent company of BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRFI. F2: 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 BRFI. Each of BRF, BRFI, 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. |
| Class A Common StockSEC Table I · non-derivative | Direct | 1,769 |
Reported balance
Holding disclosure · report date 2022-08-01 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 1,769 F3: Represents shares held directly by Bryant R. Riley. |
| Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.50 · Expires 2025-11-16 | IndirectBy BRF Investments, LLC | 325,000 |
Reported balance
Holding disclosure · report date 2022-08-01 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 325,000 F1: This Form 4 is being filed jointly by B. Riley Financial, Inc. ("BRF"), BRF Investments, LLC ("BRFI"), and Bryant R. Riley. BRF is the parent company of BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRFI. F2: 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 BRFI. Each of BRF, BRFI, 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 · Conversion / exercise price $11.50 · Expires 2025-11-16 | Direct | 14,993 |
Reported balance
Holding disclosure · report date 2022-08-01 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 14,993 F3: Represents shares held directly by Bryant R. Riley. F4: Includes 14,993 shares received upon distribution from a limited partnership. |
| Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.50 · Expires 2025-11-16 | IndirectBy Bryant R. Riley, as UTMA custodian for Abigail Riley | 27 |
Reported balance
Holding disclosure · report date 2022-08-01 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance 27 F1: This Form 4 is being filed jointly by B. Riley Financial, Inc. ("BRF"), BRF Investments, LLC ("BRFI"), and Bryant R. Riley. BRF is the parent company of BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRFI. F2: 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 BRFI. Each of BRF, BRFI, 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. F5: Includes 27 shares received upon distribution from a limited partnership. |
| Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.50 · Expires 2025-11-16 | IndirectBy Bryant R. Riley, as UTMA custodian for Charlie Riley | 27 |
Reported balance
Holding disclosure · report date 2022-08-01 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance 27 F1: This Form 4 is being filed jointly by B. Riley Financial, Inc. ("BRF"), BRF Investments, LLC ("BRFI"), and Bryant R. Riley. BRF is the parent company of BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRFI. F2: 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 BRFI. Each of BRF, BRFI, 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. F5: Includes 27 shares received upon distribution from a limited partnership. |
| Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.50 · Expires 2025-11-16 | IndirectBy Bryant R. Riley, as UTMA custodian for Susan Riley | 27 |
Reported balance
Holding disclosure · report date 2022-08-01 · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · Balance 27 F1: This Form 4 is being filed jointly by B. Riley Financial, Inc. ("BRF"), BRF Investments, LLC ("BRFI"), and Bryant R. Riley. BRF is the parent company of BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRFI. F2: 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 BRFI. Each of BRF, BRFI, 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. F5: Includes 27 shares received upon distribution from a limited partnership. |
| Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.50 · Expires 2025-11-16 | IndirectBy Bryant R. Riley, as UTMA custodian for Eloise Riley | 27 |
Reported balance
Holding disclosure · report date 2022-08-01 · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · Balance 27 F1: This Form 4 is being filed jointly by B. Riley Financial, Inc. ("BRF"), BRF Investments, LLC ("BRFI"), and Bryant R. Riley. BRF is the parent company of BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRFI. F2: 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 BRFI. Each of BRF, BRFI, 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. F5: Includes 27 shares received upon distribution from a limited partnership. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 is being filed jointly by B. Riley Financial, Inc. ("BRF"), BRF Investments, LLC ("BRFI"), and Bryant R. Riley. BRF is the parent company of BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRFI.
F2: 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 BRFI. Each of BRF, BRFI, 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.
F3: Represents shares held directly by Bryant R. Riley.
F4: Includes 14,993 shares received upon distribution from a limited partnership.
F5: Includes 27 shares received upon distribution from a limited partnership.
FaZe Holdings Inc.
Report date March 07, 2024 · Filed March 26, 2024
Jointly reported with BRC Group Holdings, Inc., B. Riley Principal 150 Sponsor Co., LLC, B. RILEY PRINCIPAL INVESTMENTS, LLC
Section 16 reporting ended · disclosed 2024-03-26. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy. B. Riley Principal Investments, LLC | 0 |
Reported balance
After 2024-03-07 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2024-03-07 · Other · Disposed 11,028,151 · Balance 0 F3: On March 7, 2024, GameSquare Holdings, Inc., a Delaware corporation ("GameSquare"), consummated the previously announced merger of FaZe Holdings Inc., a Delaware corporation ("FaZe" or the "Issuer"), by and among GameSquare, FaZe and a wholly owned subsidiary of GameSquare. At the effective time of the Merger, each outstanding share of FaZe Common Stock was converted into the right to receive 0.13091 of a fully paid non-assessable share of common stock of GameSquare. As a result, the previously reported shares and warrants of Common Stock of the Issuer owned by the Reporting Persons were converted and the Reporting Persons no longer beneficially own any shares or warrants of the Issuer. F1: B. Riley Principal Investments, LLC ("BRPI") is the managing member of B. Riley Principal 150 Sponsor Co., LLC ("Sponsor") and is a wholly-owned subsidiary of B. Riley Financial, Inc. ("BRF"). BRPI and BRF have voting and dispositive power over the securities held by the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities directly held by BRPI, and each of BRPI and BRF may be deemed to indirectly beneficially own the securities directly held by the Sponsor. F2: 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 securities directly held by the Sponsor and BRPI. Each of BRF, the Sponsor, BRPI, and Bryant R. Riley disclaims beneficial ownership of any securities reported herein, except to the extent of its/his respective pecuniary interest therein, directly or indirectly. |
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2024-03-07 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2024-03-07 · Other · Disposed 200,000 · Balance 0 F3: On March 7, 2024, GameSquare Holdings, Inc., a Delaware corporation ("GameSquare"), consummated the previously announced merger of FaZe Holdings Inc., a Delaware corporation ("FaZe" or the "Issuer"), by and among GameSquare, FaZe and a wholly owned subsidiary of GameSquare. At the effective time of the Merger, each outstanding share of FaZe Common Stock was converted into the right to receive 0.13091 of a fully paid non-assessable share of common stock of GameSquare. As a result, the previously reported shares and warrants of Common Stock of the Issuer owned by the Reporting Persons were converted and the Reporting Persons no longer beneficially own any shares or warrants of the Issuer. F4: Represents shares held directly by Bryant R. Riley. |
| Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.50 | IndirectBy. B. Riley Principal Investments, LLC | 0 |
Reported balance
After 2024-03-07 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2024-03-07 · Other · Disposed 156,001 · Balance 0 F3: On March 7, 2024, GameSquare Holdings, Inc., a Delaware corporation ("GameSquare"), consummated the previously announced merger of FaZe Holdings Inc., a Delaware corporation ("FaZe" or the "Issuer"), by and among GameSquare, FaZe and a wholly owned subsidiary of GameSquare. At the effective time of the Merger, each outstanding share of FaZe Common Stock was converted into the right to receive 0.13091 of a fully paid non-assessable share of common stock of GameSquare. As a result, the previously reported shares and warrants of Common Stock of the Issuer owned by the Reporting Persons were converted and the Reporting Persons no longer beneficially own any shares or warrants of the Issuer. F5: The warrants are exercisable 30 days after the completion of the Business Combination. The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation. F1: B. Riley Principal Investments, LLC ("BRPI") is the managing member of B. Riley Principal 150 Sponsor Co., LLC ("Sponsor") and is a wholly-owned subsidiary of B. Riley Financial, Inc. ("BRF"). BRPI and BRF have voting and dispositive power over the securities held by the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities directly held by BRPI, and each of BRPI and BRF may be deemed to indirectly beneficially own the securities directly held by the Sponsor. F2: 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 securities directly held by the Sponsor and BRPI. Each of BRF, the Sponsor, BRPI, and Bryant R. Riley disclaims beneficial ownership of any securities reported herein, except to the extent of its/his respective pecuniary interest therein, directly or indirectly. |
Filing footnotes · ownership attribution and instrument terms
F1: B. Riley Principal Investments, LLC ("BRPI") is the managing member of B. Riley Principal 150 Sponsor Co., LLC ("Sponsor") and is a wholly-owned subsidiary of B. Riley Financial, Inc. ("BRF"). BRPI and BRF have voting and dispositive power over the securities held by the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities directly held by BRPI, and each of BRPI and BRF may be deemed to indirectly beneficially own the securities directly held by the Sponsor.
F2: 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 securities directly held by the Sponsor and BRPI. Each of BRF, the Sponsor, BRPI, and Bryant R. Riley disclaims beneficial ownership of any securities reported herein, except to the extent of its/his respective pecuniary interest therein, directly or indirectly.
F3: On March 7, 2024, GameSquare Holdings, Inc., a Delaware corporation ("GameSquare"), consummated the previously announced merger of FaZe Holdings Inc., a Delaware corporation ("FaZe" or the "Issuer"), by and among GameSquare, FaZe and a wholly owned subsidiary of GameSquare. At the effective time of the Merger, each outstanding share of FaZe Common Stock was converted into the right to receive 0.13091 of a fully paid non-assessable share of common stock of GameSquare. As a result, the previously reported shares and warrants of Common Stock of the Issuer owned by the Reporting Persons were converted and the Reporting Persons no longer beneficially own any shares or warrants of the Issuer.
F4: Represents shares held directly by Bryant R. Riley.
F5: The warrants are exercisable 30 days after the completion of the Business Combination. The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation.
Franchise Group, Inc.
Report date August 21, 2023 · Filed August 21, 2023
Section 16 reporting ended · disclosed 2023-08-21. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2023-08-21 transaction · row 1
1 source rowRow 1 · 2023-08-21 · Sale · Disposed 1,804 · Balance 0 F1: This statement is being filed by Bryant R. Riley (the "Reporting Person"). In connection with the Issuer's merger (the "Merger") with Freedom VCM Subco, Inc., a Delaware corporation ("Merger Sub") and wholly-owned subsidiary of Freedom VCM, Inc., a Delaware corporation ("Parent"), immediately prior to the effective time of the Merger and pursuant to a rollover agreement dated as of August 7, 2023, by and among the Reporting Person, Freedom VCM Holdings, LLC ("Topco") and B. Riley Private Shares 2023-2 QP, LLC, a Delaware limited liability company ("BRQP") (the "Rollover Agreement"), the Reporting Person contributed each share of common stock of the Issuer held by the Reporting Person to BRQP in exchange for an interest in BRQP calculated pursuant to the Rollover Agreement. F2: (Continued from Footnote 1) Pursuant to a contribution agreement, dated as of August 21, 2023 by and among Topco, BRQP and B. Riley Private Shares 2023-2 QC, LLC, a Delaware limited liability company ("BRQC") (the "Contribution Agreement"), BRQP subsequently contributed each share of common stock of the Issuer held by BRQP to Topco in exchange for a number of common units in Topco calculated pursuant to the Contribution Agreement. |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by Bryant R. Riley (the "Reporting Person"). In connection with the Issuer's merger (the "Merger") with Freedom VCM Subco, Inc., a Delaware corporation ("Merger Sub") and wholly-owned subsidiary of Freedom VCM, Inc., a Delaware corporation ("Parent"), immediately prior to the effective time of the Merger and pursuant to a rollover agreement dated as of August 7, 2023, by and among the Reporting Person, Freedom VCM Holdings, LLC ("Topco") and B. Riley Private Shares 2023-2 QP, LLC, a Delaware limited liability company ("BRQP") (the "Rollover Agreement"), the Reporting Person contributed each share of common stock of the Issuer held by the Reporting Person to BRQP in exchange for an interest in BRQP calculated pursuant to the Rollover Agreement.
F2: (Continued from Footnote 1) Pursuant to a contribution agreement, dated as of August 21, 2023 by and among Topco, BRQP and B. Riley Private Shares 2023-2 QC, LLC, a Delaware limited liability company ("BRQC") (the "Contribution Agreement"), BRQP subsequently contributed each share of common stock of the Issuer held by BRQP to Topco in exchange for a number of common units in Topco calculated pursuant to the Contribution Agreement.
Lazydays Holdings, Inc.
Report date November 10, 2022 · Filed November 14, 2022
Jointly reported with BRC Group Holdings, Inc., B. Riley Securities, Inc., B. RILEY PRINCIPAL INVESTMENTS, LLC, BRF Investments, LLC
Section 16 reporting ended · disclosed 2022-11-14. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy B. Riley Securities, Inc. | 284,980 |
Reported balance
After 2022-11-10 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2022-11-10 · Sale · Disposed 753,546 · Balance 284,980 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"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Investments, LLC, a Delaware corporation ("BRFI"), and Bryant R. Riley. F2: BRF is the parent company of BRS, BRPI and BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS, BRPI and BRFI. 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 held by BRS, BRPI and BRFI. Each of BRF, BRS, BRPI, BRFI 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 Investments, LLC | 0 |
Reported balance
After 2022-11-10 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2022-11-10 · Sale · Disposed 247,663 · Balance 0 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"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Investments, LLC, a Delaware corporation ("BRFI"), and Bryant R. Riley. F2: BRF is the parent company of BRS, BRPI and BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS, BRPI and BRFI. 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 held by BRS, BRPI and BRFI. Each of BRF, BRS, BRPI, BRFI 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 BRF Investments, LLC | 0 |
Reported balance
After 2022-11-10 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2022-11-10 · Sale · Disposed 698,791 · Balance 0 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"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Investments, LLC, a Delaware corporation ("BRFI"), and Bryant R. Riley. F2: BRF is the parent company of BRS, BRPI and BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS, BRPI and BRFI. 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 held by BRS, BRPI and BRFI. Each of BRF, BRS, BRPI, BRFI 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. |
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"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Investments, LLC, a Delaware corporation ("BRFI"), and Bryant R. Riley.
F2: BRF is the parent company of BRS, BRPI and BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS, BRPI and BRFI.
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 held by BRS, BRPI and BRFI. Each of BRF, BRS, BRPI, BRFI 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.
Nogin, Inc.
Report date August 29, 2022 · Filed September 01, 2022 · Amendment
Jointly reported with BRC Group Holdings, Inc., B. RILEY PRINCIPAL INVESTMENTS, LLC, ABJ5, LLC, B. Riley Securities, Inc.
Section 16 reporting ended · disclosed 2022-09-01. Current position is not established by this disclosure.
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
No balance rows disclosed in this filing.
Paradium.AI, Inc.
Report date November 30, 2023 · Filed December 04, 2023
Jointly reported with BRC Group Holdings, Inc., B. Riley Securities, Inc., B. RILEY PRINCIPAL INVESTMENTS, LLC, BRF Investments, LLC
Section 16 reporting ended · disclosed 2023-12-04. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectBy BRF Investments, LLC | 0 |
Reported balance
After 2023-11-30 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-11-30 · Sale · Disposed 5,323,282 · Balance 0 F1: This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Investments, LLC, a Delaware corporation ("BRFI"), and Bryant R. Riley. F2: BRF is the parent company of BRS, BRPI and BRFI. As a result, BRF may be deemed to indirectly beneficially own the securities of The Arena Group Holdings, Inc. (the "Issuer") held of record by BRS, BRPI and BRFI. BRF expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such Reporting Person's pecuniary interest therein. F3: Bryant R. Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting power and dispositive power over the securities of the Issuer held of record by BRS, BRPI and BRFI. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRS, BRPI and BRFI. Bryant R. Riley expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of his pecuniary interest therein. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectBy B. Riley Securities, Inc. | 0 |
Reported balance
After 2023-11-30 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2023-11-30 · Sale · Disposed 363,246 · Balance 0 F1: This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Investments, LLC, a Delaware corporation ("BRFI"), and Bryant R. Riley. F2: BRF is the parent company of BRS, BRPI and BRFI. As a result, BRF may be deemed to indirectly beneficially own the securities of The Arena Group Holdings, Inc. (the "Issuer") held of record by BRS, BRPI and BRFI. BRF expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such Reporting Person's pecuniary interest therein. F3: Bryant R. Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting power and dispositive power over the securities of the Issuer held of record by BRS, BRPI and BRFI. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRS, BRPI and BRFI. Bryant R. Riley expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of his pecuniary interest therein. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectBy B. Riley Principal Investments, LLC | 0 |
Reported balance
After 2023-11-30 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2023-11-30 · Sale · Disposed 29,342 · Balance 0 F1: This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Investments, LLC, a Delaware corporation ("BRFI"), and Bryant R. Riley. F2: BRF is the parent company of BRS, BRPI and BRFI. As a result, BRF may be deemed to indirectly beneficially own the securities of The Arena Group Holdings, Inc. (the "Issuer") held of record by BRS, BRPI and BRFI. BRF expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such Reporting Person's pecuniary interest therein. F3: Bryant R. Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting power and dispositive power over the securities of the Issuer held of record by BRS, BRPI and BRFI. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRS, BRPI and BRFI. Bryant R. Riley expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of his pecuniary interest therein. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2023-11-30 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2023-11-30 · Sale · Disposed 1,588,642 · Balance 0 F4: Represents shares held directly by Bryant R. Riley. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectBy Bryant R. Riley, as UTMA custodian for Abigail Riley | 0 |
Reported balance
After 2023-11-30 transaction · row 5
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 5 · 2023-11-30 · Sale · Disposed 23,232 · Balance 0 F1: This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Investments, LLC, a Delaware corporation ("BRFI"), and Bryant R. Riley. F3: Bryant R. Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting power and dispositive power over the securities of the Issuer held of record by BRS, BRPI and BRFI. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRS, BRPI and BRFI. Bryant R. Riley expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of his pecuniary interest therein. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectBy Bryant R. Riley, as UTMA custodian for Charlie Riley | 0 |
Reported balance
After 2023-11-30 transaction · row 6
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 6 · 2023-11-30 · Sale · Disposed 25,809 · Balance 0 F1: This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Investments, LLC, a Delaware corporation ("BRFI"), and Bryant R. Riley. F3: Bryant R. Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting power and dispositive power over the securities of the Issuer held of record by BRS, BRPI and BRFI. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRS, BRPI and BRFI. Bryant R. Riley expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of his pecuniary interest therein. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectBy Bryant R. Riley, as UTMA custodian for Susan Riley | 0 |
Reported balance
After 2023-11-30 transaction · row 7
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 7 · 2023-11-30 · Sale · Disposed 23,232 · Balance 0 F1: This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Investments, LLC, a Delaware corporation ("BRFI"), and Bryant R. Riley. F3: Bryant R. Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting power and dispositive power over the securities of the Issuer held of record by BRS, BRPI and BRFI. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRS, BRPI and BRFI. Bryant R. Riley expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of his pecuniary interest therein. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectBy Bryant R. Riley, as UTMA custodian for Eloise Riley | 0 |
Reported balance
After 2023-11-30 transaction · row 8
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 8 · 2023-11-30 · Sale · Disposed 23,232 · Balance 0 F1: This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Investments, LLC, a Delaware corporation ("BRFI"), and Bryant R. Riley. F3: Bryant R. Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting power and dispositive power over the securities of the Issuer held of record by BRS, BRPI and BRFI. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRS, BRPI and BRFI. Bryant R. Riley expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of his pecuniary interest therein. |
| Warrants to purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $1.00 · Expires 2025-10-20 | IndirectBy BRF Investments, LLC | 28,409 |
Reported balance
Holding disclosure · report date 2023-11-30 · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · Balance 28,409 F5: The warrants to purchase shares of Common Stock (the "Warrants") held by BRS are exercisable on or prior to October 20, 2025 at an initial exercise price of $1.00 per share. The Warrants are only exercisable in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock upon receiving shareholder approval of such amendment. This amendment has not been filed and/or accepted by the State of Delaware as of the date of this filing. The Warrants are also subject to a beneficial ownership limitation of 4.99%. F6: Represents warrants previously held by BRPI and subsequently transferred to BRFI, and reflects the 1-for-22 reverse stock split effected on February 9, 2022 in connection with the Issuer uplisting its Common Stock to the NYSE American stock exchange. F1: This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Investments, LLC, a Delaware corporation ("BRFI"), and Bryant R. Riley. F2: BRF is the parent company of BRS, BRPI and BRFI. As a result, BRF may be deemed to indirectly beneficially own the securities of The Arena Group Holdings, Inc. (the "Issuer") held of record by BRS, BRPI and BRFI. BRF expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such Reporting Person's pecuniary interest therein. F3: Bryant R. Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting power and dispositive power over the securities of the Issuer held of record by BRS, BRPI and BRFI. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRS, BRPI and BRFI. Bryant R. Riley expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Investments, LLC, a Delaware corporation ("BRFI"), and Bryant R. Riley.
F2: BRF is the parent company of BRS, BRPI and BRFI. As a result, BRF may be deemed to indirectly beneficially own the securities of The Arena Group Holdings, Inc. (the "Issuer") held of record by BRS, BRPI and BRFI. BRF expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such Reporting Person's pecuniary interest therein.
F3: Bryant R. Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting power and dispositive power over the securities of the Issuer held of record by BRS, BRPI and BRFI. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRS, BRPI and BRFI. Bryant R. Riley expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of his pecuniary interest therein.
F4: Represents shares held directly by Bryant R. Riley.
F5: The warrants to purchase shares of Common Stock (the "Warrants") held by BRS are exercisable on or prior to October 20, 2025 at an initial exercise price of $1.00 per share. The Warrants are only exercisable in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock upon receiving shareholder approval of such amendment. This amendment has not been filed and/or accepted by the State of Delaware as of the date of this filing. The Warrants are also subject to a beneficial ownership limitation of 4.99%.
F6: Represents warrants previously held by BRPI and subsequently transferred to BRFI, and reflects the 1-for-22 reverse stock split effected on February 9, 2022 in connection with the Issuer uplisting its Common Stock to the NYSE American stock exchange.
QUANTUM CORP /DE/
Report date September 30, 2021 · Filed October 30, 2021
Jointly reported with BRC Group Holdings, Inc., B. Riley Securities, Inc.
Section 16 reporting ended · disclosed 2021-10-30. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy B. Riley Securities, Inc. | 5,359,100 |
Reported balance
Holding disclosure · report date 2021-09-30 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 5,359,100 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"), and Bryant R. Riley. BRF is the parent company of BRS. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS. F2: 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, and BRS. Each of BRF, BRS, 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 Bryant R. Riley, as UTMA custodian for Charlie Riley | 10,199 |
Reported balance
Holding disclosure · report date 2021-09-30 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 10,199 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"), and Bryant R. Riley. BRF is the parent company of BRS. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS. F2: 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, and BRS. Each of BRF, BRS, 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 Bryant R. Riley, as UTMA custodian for Susan Riley | 10,200 |
Reported balance
Holding disclosure · report date 2021-09-30 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 10,200 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"), and Bryant R. Riley. BRF is the parent company of BRS. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS. F2: 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, and BRS. Each of BRF, BRS, 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 Bryant R. Riley, as UTMA custodian for Abigail Riley | 10,199 |
Reported balance
Holding disclosure · report date 2021-09-30 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 10,199 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"), and Bryant R. Riley. BRF is the parent company of BRS. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS. F2: 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, and BRS. Each of BRF, BRS, 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 Bryant R. Riley, as UTMA custodian for Eloise Riley | 10,198 |
Reported balance
Holding disclosure · report date 2021-09-30 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 10,198 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"), and Bryant R. Riley. BRF is the parent company of BRS. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS. F2: 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, and BRS. Each of BRF, BRS, 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. |
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"), and Bryant R. Riley. BRF is the parent company of BRS. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS.
F2: 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, and BRS. Each of BRF, BRS, 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.
SYNCHRONOSS TECHNOLOGIES INC
Report date August 23, 2024 · Filed August 27, 2024
Jointly reported with BRC Group Holdings, Inc., B. Riley Securities, Inc., BRF Investments, LLC
Section 16 reporting ended · disclosed 2024-08-27. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy BRF Investments, LLC | 980,509 |
Last balance in matching sequence
After 2024-08-27 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2024-08-23 · Sale · Disposed 9,819 · Balance 1,026,712 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"), BRF Investments, LLC, a Delaware limited liability company ("BRFI"), and Bryant R. Riley. F2: BRF is the parent company of BRS and BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS and BRFI. 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 BRS and BRFI. Each of BRF, BRS, BRFI, 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. Row 2 · 2024-08-26 · Sale · Disposed 32,678 · Balance 994,034 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"), BRF Investments, LLC, a Delaware limited liability company ("BRFI"), and Bryant R. Riley. F2: BRF is the parent company of BRS and BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS and BRFI. 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 BRS and BRFI. Each of BRF, BRS, BRFI, 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. Row 3 · 2024-08-27 · Sale · Disposed 13,525 · Balance 980,509 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"), BRF Investments, LLC, a Delaware limited liability company ("BRFI"), and Bryant R. Riley. F2: BRF is the parent company of BRS and BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS and BRFI. 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 BRS and BRFI. Each of BRF, BRS, BRFI, 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 Securities, Inc. | 2,740 |
Reported balance
Holding disclosure · report date 2024-08-23 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 2,740 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"), BRF Investments, LLC, a Delaware limited liability company ("BRFI"), and Bryant R. Riley. F2: BRF is the parent company of BRS and BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS and BRFI. 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 BRS and BRFI. Each of BRF, BRS, BRFI, 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 | 49,523 |
Reported balance
Holding disclosure · report date 2024-08-23 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 49,523 F4: Represents shares held directly by Bryant R. Riley. |
| Common StockSEC Table I · non-derivative | IndirectBy Bryant R. Riley, as UTMA custodian for Charlie Riley | 273 |
Reported balance
Holding disclosure · report date 2024-08-23 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 273 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"), BRF Investments, LLC, a Delaware limited liability company ("BRFI"), and Bryant R. Riley. 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 BRS and BRFI. Each of BRF, BRS, BRFI, 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 Bryant R. Riley, as UTMA custodian for Susan Riley | 273 |
Reported balance
Holding disclosure · report date 2024-08-23 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 273 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"), BRF Investments, LLC, a Delaware limited liability company ("BRFI"), and Bryant R. Riley. 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 BRS and BRFI. Each of BRF, BRS, BRFI, 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 Bryant R. Riley, as UTMA custodian for Abigail Riley | 273 |
Reported balance
Holding disclosure · report date 2024-08-23 · row 8
Holding and transaction disclosures are not merged.
1 source rowRow 8 · Balance 273 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"), BRF Investments, LLC, a Delaware limited liability company ("BRFI"), and Bryant R. Riley. 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 BRS and BRFI. Each of BRF, BRS, BRFI, 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 Bryant R. Riley, as UTMA custodian for Eloise Riley | 273 |
Reported balance
Holding disclosure · report date 2024-08-23 · row 9
Holding and transaction disclosures are not merged.
1 source rowRow 9 · Balance 273 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"), BRF Investments, LLC, a Delaware limited liability company ("BRFI"), and Bryant R. Riley. 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 BRS and BRFI. Each of BRF, BRS, BRFI, 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. |
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"), BRF Investments, LLC, a Delaware limited liability company ("BRFI"), and Bryant R. Riley.
F2: BRF is the parent company of BRS and BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS and BRFI.
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 BRS and BRFI. Each of BRF, BRS, BRFI, 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.
TRANSACT TECHNOLOGIES INC
Report date January 19, 2024 · Filed January 24, 2024
Jointly reported with BRC Group Holdings, Inc., B. Riley Securities, Inc., BRF Investments, LLC
Section 16 reporting ended · disclosed 2024-01-24. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy B. Riley Securities, Inc. | 184,862 |
Last balance in matching sequence
After 2024-01-23 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2024-01-19 · Sale · Disposed 38,317 · Balance 207,736 F4: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.55 to $7.63, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares purchased at each separate price. 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"), BRF Investments, LLC, a Delaware limited liability company ("BRFI"), and Bryant R. Riley. F2: BRF is the parent company of BRS and BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS and BRFI. 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 BRS and BRFI. Each of BRF, BRS, BRFI, 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. Row 2 · 2024-01-22 · Sale · Disposed 13,521 · Balance 194,215 F5: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.64 to $7.84, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares purchased at each separate price 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"), BRF Investments, LLC, a Delaware limited liability company ("BRFI"), and Bryant R. Riley. F2: BRF is the parent company of BRS and BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS and BRFI. 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 BRS and BRFI. Each of BRF, BRS, BRFI, 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. Row 3 · 2024-01-23 · Sale · Disposed 9,353 · Balance 184,862 F6: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.75 to $7.91, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares purchased at each separate price 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"), BRF Investments, LLC, a Delaware limited liability company ("BRFI"), and Bryant R. Riley. F2: BRF is the parent company of BRS and BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS and BRFI. 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 BRS and BRFI. Each of BRF, BRS, BRFI, 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 BRF Investments, LLC | 800,000 |
Reported balance
Holding disclosure · report date 2024-01-19 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 800,000 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"), BRF Investments, LLC, a Delaware limited liability company ("BRFI"), and Bryant R. Riley. F2: BRF is the parent company of BRS and BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS and BRFI. 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 BRS and BRFI. Each of BRF, BRS, BRFI, 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. |
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"), BRF Investments, LLC, a Delaware limited liability company ("BRFI"), and Bryant R. Riley.
F2: BRF is the parent company of BRS and BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS and BRFI.
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 BRS and BRFI. Each of BRF, BRS, BRFI, 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: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.55 to $7.63, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares purchased at each separate price.
F5: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.64 to $7.84, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares purchased at each separate price
F6: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.75 to $7.91, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares purchased at each separate price
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 |
|---|---|---|---|---|---|---|
| October 25, 2022 Filed Oct 26, 2022 01:30 UTC | TRANSACT TECHNOLOGIES INC TACT · Entity 7179 | PurchaseCommon Stock | 24,900 | $3.65 | $90,885.00 |
DisclosureSEC source: 0001213900-22-066260 · ownership.xml · nonDerivative · entry 2 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Securities, Inc. · CIK 0001505748 · 10% owner RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Securities, Inc. Disclosed balance after: 1,060,951 F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.645 to $3.65, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · ownership.nature: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), and Bryant R. Riley. F2 · ownership.nature: BRF is the parent company of BRS. As a result, BRF may be deemed to indirectly beneficially own the securities of TransAct Technologies, Inc. (the "Issuer") held of record by BRS. BRF expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such Reporting Person's pecuniary interest therein. F3 · ownership.nature: Bryant R. Riley, as Chairman and Co-Chief Executive Officer of BRF, has voting power and dispositive power over the securities of the Issuer held of record by BRS. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRS. Bryant R. Riley expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| October 21, 2022 Filed Oct 26, 2022 01:30 UTC | TRANSACT TECHNOLOGIES INC TACT · Entity 7179 | PurchaseCommon Stock | 1,685 | $3.65 | $6,150.25 |
DisclosureSEC source: 0001213900-22-066260 · ownership.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Securities, Inc. · CIK 0001505748 · 10% owner RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Securities, Inc. Disclosed balance after: 1,036,051 F1 · ownership.nature: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), and Bryant R. Riley. F2 · ownership.nature: BRF is the parent company of BRS. As a result, BRF may be deemed to indirectly beneficially own the securities of TransAct Technologies, Inc. (the "Issuer") held of record by BRS. BRF expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such Reporting Person's pecuniary interest therein. F3 · ownership.nature: Bryant R. Riley, as Chairman and Co-Chief Executive Officer of BRF, has voting power and dispositive power over the securities of the Issuer held of record by BRS. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRS. Bryant R. Riley expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| October 11, 2022 Filed Oct 11, 2022 21:30 UTC | Lazydays Holdings, Inc. LAZY · Entity 72472 | PurchaseCommon Stock | 5,866 | $12.60 | $73,911.60 |
DisclosureSEC source: 0001213900-22-063385 · ownership.xml · nonDerivative · entry 2 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Securities, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner BRF Investments, LLC · CIK 0001880803 · 10% owner RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Securities, Inc. Disclosed balance after: 1,038,526 F1 · ownership.nature: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Investments, LLC, a Delaware corporation ("BRFI"), and Bryant R. Riley. F2 · ownership.nature: BRF is the parent company of BRS, BRPI and BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS, BRPI and BRFI. F3 · ownership.nature: 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 held by BRS, BRPI and BRFI. Each of BRF, BRS, BRPI, BRFI 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. Read SEC document |
| October 07, 2022 Filed Oct 11, 2022 21:30 UTC | Lazydays Holdings, Inc. LAZY · Entity 72472 | PurchaseCommon Stock | 10,000 | $12.75 | $127,463.00 |
DisclosureSEC source: 0001213900-22-063385 · ownership.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Securities, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner BRF Investments, LLC · CIK 0001880803 · 10% owner RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Securities, Inc. Disclosed balance after: 1,032,660 F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $12.735 to $12.75, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · ownership.nature: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Investments, LLC, a Delaware corporation ("BRFI"), and Bryant R. Riley. F2 · ownership.nature: BRF is the parent company of BRS, BRPI and BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS, BRPI and BRFI. F3 · ownership.nature: 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 held by BRS, BRPI and BRFI. Each of BRF, BRS, BRPI, BRFI 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. Read SEC document |
| October 06, 2022 Filed Oct 6, 2022 21:30 UTC | Lazydays Holdings, Inc. LAZY · Entity 72472 | PurchaseCommon Stock | 80,249 | $12.92 | $1,036,881.28 |
DisclosureSEC source: 0001213900-22-062648 · ownership.xml · nonDerivative · entry 3 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Securities, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner BRF Investments, LLC · CIK 0001880803 · 10% owner RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Securities, Inc. Disclosed balance after: 1,022,660 F6 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $12.825 to $13.00, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · ownership.nature: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Investments, LLC, a Delaware corporation ("BRFI"), and Bryant R. Riley. F2 · ownership.nature: BRF is the parent company of BRS, BRPI and BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS, BRPI and BRFI. F3 · ownership.nature: 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 held by BRS, BRPI and BRFI. Each of BRF, BRS, BRPI, BRFI 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. Read SEC document |
| October 05, 2022 Filed Oct 6, 2022 21:30 UTC | Lazydays Holdings, Inc. LAZY · Entity 72472 | PurchaseCommon Stock | 101,291 | $12.96 | $1,312,498.39 |
DisclosureSEC source: 0001213900-22-062648 · ownership.xml · nonDerivative · entry 2 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Securities, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner BRF Investments, LLC · CIK 0001880803 · 10% owner RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Securities, Inc. Disclosed balance after: 942,411 F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $12.75 to $13.00, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · ownership.nature: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Investments, LLC, a Delaware corporation ("BRFI"), and Bryant R. Riley. F2 · ownership.nature: BRF is the parent company of BRS, BRPI and BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS, BRPI and BRFI. F3 · ownership.nature: 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 held by BRS, BRPI and BRFI. Each of BRF, BRS, BRPI, BRFI 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. Read SEC document |
| October 04, 2022 Filed Oct 6, 2022 21:30 UTC | Lazydays Holdings, Inc. LAZY · Entity 72472 | PurchaseCommon Stock | 9,663 | $13.03 | $125,921.45 |
DisclosureSEC source: 0001213900-22-062648 · ownership.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Securities, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner BRF Investments, LLC · CIK 0001880803 · 10% owner RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Securities, Inc. Disclosed balance after: 841,120 F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $13.005 to $13.04, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · ownership.nature: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Investments, LLC, a Delaware corporation ("BRFI"), and Bryant R. Riley. F2 · ownership.nature: BRF is the parent company of BRS, BRPI and BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS, BRPI and BRFI. F3 · ownership.nature: 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 held by BRS, BRPI and BRFI. Each of BRF, BRS, BRPI, BRFI 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. Read SEC document |
| October 03, 2022 Filed Oct 6, 2022 01:30 UTC | TRANSACT TECHNOLOGIES INC TACT · Entity 7179 | PurchaseCommon Stock | 32,226 | $3.65 | $117,612.01 |
DisclosureSEC source: 0001213900-22-062289 · ownership.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Securities, Inc. · CIK 0001505748 · 10% owner RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Securities, Inc. Disclosed balance after: 1,034,366 F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.64 to $3.65, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · ownership.nature: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), and Bryant R. Riley. F2 · ownership.nature: BRF is the parent company of BRS. As a result, BRF may be deemed to indirectly beneficially own the securities of TransAct Technologies, Inc. (the "Issuer") held of record by BRS. BRF expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such Reporting Person's pecuniary interest therein. F3 · ownership.nature: Bryant R. Riley, as Chairman and Co-Chief Executive Officer of BRF, has voting power and dispositive power over the securities of the Issuer held of record by BRS. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRS. Bryant R. Riley expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of his pecuniary interest therein. Read SEC document |
| September 26, 2022 Filed Sep 26, 2022 21:30 UTC | Lazydays Holdings, Inc. LAZY · Entity 72472 | PurchaseCommon Stock | 11,192 | $12.73 | $142,470.80 |
DisclosureSEC source: 0001213900-22-059096 · ownership.xml · nonDerivative · entry 3 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Securities, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner BRF Investments, LLC · CIK 0001880803 · 10% owner RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Securities, Inc. Disclosed balance after: 831,457 F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $12.69 to $12.75, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · ownership.nature: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Investments, LLC, a Delaware corporation ("BRFI"), and Bryant R. Riley. F2 · ownership.nature: BRF is the parent company of BRS, BRPI and BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS, BRPI and BRFI. F3 · ownership.nature: 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 held by BRS, BRPI and BRFI. Each of BRF, BRS, BRPI, BRFI 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. Read SEC document |
| September 23, 2022 Filed Sep 26, 2022 21:30 UTC | Lazydays Holdings, Inc. LAZY · Entity 72472 | PurchaseCommon Stock | 7,123 | $12.75 | $90,818.25 |
DisclosureSEC source: 0001213900-22-059096 · ownership.xml · nonDerivative · entry 2 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Securities, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner BRF Investments, LLC · CIK 0001880803 · 10% owner RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Securities, Inc. Disclosed balance after: 820,265 F1 · ownership.nature: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Investments, LLC, a Delaware corporation ("BRFI"), and Bryant R. Riley. F2 · ownership.nature: BRF is the parent company of BRS, BRPI and BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS, BRPI and BRFI. F3 · ownership.nature: 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 held by BRS, BRPI and BRFI. Each of BRF, BRS, BRPI, BRFI 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. Read SEC document |
| September 22, 2022 Filed Sep 26, 2022 21:30 UTC | Lazydays Holdings, Inc. LAZY · Entity 72472 | PurchaseCommon Stock | 1,635 | $12.75 | $20,845.60 |
DisclosureSEC source: 0001213900-22-059096 · ownership.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Securities, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner BRF Investments, LLC · CIK 0001880803 · 10% owner RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Securities, Inc. Disclosed balance after: 813,142 F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $12.745 to $12.75, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · ownership.nature: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Investments, LLC, a Delaware corporation ("BRFI"), and Bryant R. Riley. F2 · ownership.nature: BRF is the parent company of BRS, BRPI and BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS, BRPI and BRFI. F3 · ownership.nature: 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 held by BRS, BRPI and BRFI. Each of BRF, BRS, BRPI, BRFI 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. Read SEC document |
| September 16, 2022 Filed Sep 19, 2022 13:28 UTC | BRC Group Holdings, Inc. RILY · Entity 6050 | PurchaseCommon Stock | 8,509 | $46.83 | $398,452.64 |
DisclosureSEC source: 0001213900-22-056770 · ownership.xml · nonDerivative · entry 1 RILEY BRYANT R · CIK 0001207269 · Director · Chairman and Co-CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,978,415 F1 · shares: These transactions were executed in multiple trades at prices ranging from $46.39 to $47.00. The prices reported above reflect the weighted average purchase prices. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected. F2 · balance_after: Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife. Read SEC document |
| September 14, 2022 Filed Sep 14, 2022 18:55 UTC | BRC Group Holdings, Inc. RILY · Entity 6050 | PurchaseCommon Stock | 1,000 | $47.68 | $47,677.30 |
DisclosureSEC source: 0001213900-22-055877 · ownership.xml · nonDerivative · entry 5 RILEY BRYANT R · CIK 0001207269 · Director · Chairman and Co-CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · UTMA account of E.R. Disclosed balance after: 16,537 F3 · shares: These transactions were executed in multiple trades at prices ranging from $47.65 to $47.68, in one lot then divided between the four. The prices reported above reflect the weighted average purchase prices. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected. F7 · ownership.nature: The shares are held for E.R., the child of the Reporting Person, through a custodial account established pursuant to the UTMA for which the Reporting Person serves as custodian. F9 · ownership.nature: The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose. Read SEC document |
| September 14, 2022 Filed Sep 14, 2022 18:55 UTC | BRC Group Holdings, Inc. RILY · Entity 6050 | PurchaseCommon Stock | 1,000 | $47.68 | $47,677.30 |
DisclosureSEC source: 0001213900-22-055877 · ownership.xml · nonDerivative · entry 4 RILEY BRYANT R · CIK 0001207269 · Director · Chairman and Co-CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · UTMA account of A.R. Disclosed balance after: 16,538 F3 · shares: These transactions were executed in multiple trades at prices ranging from $47.65 to $47.68, in one lot then divided between the four. The prices reported above reflect the weighted average purchase prices. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected. F6 · ownership.nature: The shares are held for A.R., the child of the Reporting Person, through a custodial account established pursuant to the UTMA for which the Reporting Person serves as custodian. F9 · ownership.nature: The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose. Read SEC document |
| September 14, 2022 Filed Sep 14, 2022 18:55 UTC | BRC Group Holdings, Inc. RILY · Entity 6050 | PurchaseCommon Stock | 1,000 | $47.68 | $47,677.30 |
DisclosureSEC source: 0001213900-22-055877 · ownership.xml · nonDerivative · entry 3 RILEY BRYANT R · CIK 0001207269 · Director · Chairman and Co-CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · UTMA account of C.R. Disclosed balance after: 16,538 F3 · shares: These transactions were executed in multiple trades at prices ranging from $47.65 to $47.68, in one lot then divided between the four. The prices reported above reflect the weighted average purchase prices. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected. F5 · ownership.nature: The shares are held for C.R., the child of the Reporting Person, through a custodial account established pursuant to the UTMA for which the Reporting Person serves as custodian. F9 · ownership.nature: The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose. Read SEC document |
| September 14, 2022 Filed Sep 14, 2022 18:55 UTC | BRC Group Holdings, Inc. RILY · Entity 6050 | PurchaseCommon Stock | 1,000 | $47.68 | $47,677.30 |
DisclosureSEC source: 0001213900-22-055877 · ownership.xml · nonDerivative · entry 2 RILEY BRYANT R · CIK 0001207269 · Director · Chairman and Co-CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · UTMA account of S.R. Disclosed balance after: 16,538 F3 · shares: These transactions were executed in multiple trades at prices ranging from $47.65 to $47.68, in one lot then divided between the four. The prices reported above reflect the weighted average purchase prices. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected. F4 · ownership.nature: The shares are held for S.R., the child of the Reporting Person, through a custodial account established pursuant to the Uniform Transfer to Minors Act ("UTMA") for which the Reporting Person serves as custodian. F9 · ownership.nature: The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose. Read SEC document |
| September 14, 2022 Filed Sep 14, 2022 18:55 UTC | BRC Group Holdings, Inc. RILY · Entity 6050 | PurchaseCommon Stock | 25,000 | $47.46 | $1,186,397.50 |
DisclosureSEC source: 0001213900-22-055877 · ownership.xml · nonDerivative · entry 1 RILEY BRYANT R · CIK 0001207269 · Director · Chairman and Co-CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,969,906 F1 · shares: These transactions were executed in multiple trades at prices ranging from $47.35 to $47.68. The prices reported above reflect the weighted average purchase prices. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected. F2 · balance_after: Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife. Read SEC document |
| August 31, 2022 Filed Sep 1, 2022 13:28 UTC | BRC Group Holdings, Inc. RILY · Entity 6050 | PurchaseCommon Stock | 25,000 | $49.76 | $1,243,897.50 |
DisclosureSEC source: 0001213900-22-052947 · ownership.xml · nonDerivative · entry 2 RILEY BRYANT R · CIK 0001207269 · Director · Chairman and Co-CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,944,906 F1 · shares: These transactions were executed in multiple trades at prices ranging from $48.96 to $49.25 on August 30, 2022; and in multiple trades at prices ranging from $49.11 to $50.21 on August 31, 2022. The prices reported above reflect the weighted average purchase prices. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected. F2 · balance_after: Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife. Read SEC document |
| August 30, 2022 Filed Sep 1, 2022 13:28 UTC | BRC Group Holdings, Inc. RILY · Entity 6050 | PurchaseCommon Stock | 25,000 | $49.17 | $1,229,337.50 |
DisclosureSEC source: 0001213900-22-052947 · ownership.xml · nonDerivative · entry 1 RILEY BRYANT R · CIK 0001207269 · Director · Chairman and Co-CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,919,906 F1 · shares: These transactions were executed in multiple trades at prices ranging from $48.96 to $49.25 on August 30, 2022; and in multiple trades at prices ranging from $49.11 to $50.21 on August 31, 2022. The prices reported above reflect the weighted average purchase prices. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected. F2 · balance_after: Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife. Read SEC document |
| July 26, 2022 Filed Jul 29, 2022 01:30 UTC | ALTA EQUIPMENT GROUP INC. ALTG · Entity 6371 | PurchaseCommon Stock | 2,936 | $10.50 | $30,828.00 |
DisclosureSEC source: 0001213900-22-042628 · ownership.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Securities, Inc. · CIK 0001505748 · 10% owner BRF Investments, LLC · CIK 0001880803 · 10% owner RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Securities, Inc. Disclosed balance after: 2,021,134 F1 · ownership.nature: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), BRF Investments, LLC, a Delaware limited liability company ("BRFI"), and Bryant R. Riley. F2 · ownership.nature: BRF is the parent company of BRS and BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS and BRFI. F3 · ownership.nature: 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 BRS and BRFI. Each of BRF, BRS, BRFI, 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. Read SEC document |
| July 22, 2022 Filed Jul 27, 2022 01:31 UTC | FaZe Holdings Inc. FAZE · Entity 92650 | OtherWarrants (right to buy) · Derivative | 17,332 | Not disclosed Strike: $11.50 | Not disclosed |
DisclosureSEC source: 0001213900-22-041839 · ownership.xml · derivative · entry 4 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal 150 Sponsor Co., LLC · CIK 0001839013 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Principal 150 Sponsor Co., LLC Disclosed balance after: 156,001 Underlying: Class A Common Stock · 17,332 shares Expires not disclosed F3 · kind: Represents a pro-rata distribution to the members of the Sponsor for no consideration. F3 · price: Represents a pro-rata distribution to the members of the Sponsor for no consideration. F6 · derivative.exercise_date: The warrants will become exercisable 30 days after the completion of the Business Combination. The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation. F6 · derivative.expiration_date: The warrants will become exercisable 30 days after the completion of the Business Combination. The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation. F1 · ownership.nature: B. Riley Principal Investments, LLC ("BRPI") is the managing member of B. Riley Principal 150 Sponsor Co., LLC ("Sponsor") and is a wholly-owned subsidiary of B. Riley Financial, Inc. ("BRF"). BRPI and BRF have voting and dispositive power over the securities held by the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities directly held by BRPI, and each of BRPI and BRF may be deemed to indirectly beneficially own the securities directly held by the Sponsor. F2 · ownership.nature: 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 securities directly held by the Sponsor and BRPI. Each of BRF, the Sponsor, BRPI, and Bryant R. Riley disclaims beneficial ownership of any securities reported herein, except to the extent of its/his respective pecuniary interest therein, directly or indirectly. Read SEC document |
| July 22, 2022 Filed Jul 27, 2022 01:31 UTC | FaZe Holdings Inc. FAZE · Entity 92650 | OtherCommon Stock | 52,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-22-041839 · ownership.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal 150 Sponsor Co., LLC · CIK 0001839013 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Principal 150 Sponsor Co., LLC Disclosed balance after: 4,780,500 F3 · kind: Represents a pro-rata distribution to the members of the Sponsor for no consideration. F3 · price: Represents a pro-rata distribution to the members of the Sponsor for no consideration. F4 · balance_after: Includes an aggregate of 2,156,250 shares subject to forfeiture if the vesting conditions set forth in the Sponsor Support Agreement dated as of October 24, 2021 ("Sponsor Support Agreement") by and among BRPM, Legacy FaZe, and the Sponsor are not met. F1 · ownership.nature: B. Riley Principal Investments, LLC ("BRPI") is the managing member of B. Riley Principal 150 Sponsor Co., LLC ("Sponsor") and is a wholly-owned subsidiary of B. Riley Financial, Inc. ("BRF"). BRPI and BRF have voting and dispositive power over the securities held by the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities directly held by BRPI, and each of BRPI and BRF may be deemed to indirectly beneficially own the securities directly held by the Sponsor. F2 · ownership.nature: 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 securities directly held by the Sponsor and BRPI. Each of BRF, the Sponsor, BRPI, and Bryant R. Riley disclaims beneficial ownership of any securities reported herein, except to the extent of its/his respective pecuniary interest therein, directly or indirectly. Read SEC document |
| July 21, 2022 Filed Jul 26, 2022 01:30 UTC | ALTA EQUIPMENT GROUP INC. ALTG · Entity 6371 | PurchaseCommon Stock | 808 | $10.50 | $8,484.00 |
DisclosureSEC source: 0001213900-22-041444 · ownership.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Securities, Inc. · CIK 0001505748 · 10% owner BRF Investments, LLC · CIK 0001880803 · 10% owner RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Securities, Inc. Disclosed balance after: 2,018,198 F1 · ownership.nature: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), BRF Investments, LLC, a Delaware limited liability company ("BRFI"), and Bryant R. Riley. F2 · ownership.nature: BRF is the parent company of BRS and BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS and BRFI. F3 · ownership.nature: 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 BRS and BRFI. Each of BRF, BRS, BRFI, 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. Read SEC document |
| July 20, 2022 Filed Jul 27, 2022 01:30 UTC | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | OtherWarrants (right to buy) · Derivative | 1,541,666.7 | Not disclosed Strike: $0.01 | Not disclosed |
DisclosureSEC source: 0001213900-22-041838 · ownership.xml · derivative · entry 9 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Securities, Inc. · CIK 0001505748 · 10% owner BRF Investments, LLC · CIK 0001880803 · 10% owner RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By BRF Investments, LLC Disclosed balance after: 0 Underlying: Common Stock · 1,541,666 shares Expires 2022-07-23 F5 · kind: On July 20, 2022, BRFI exercised 1,541,666.7 warrants to purchase 1,541,666 shares of Common Stock of the Issuer at a price per share of $0.01 per the warrant agreement between BRF and the Issuer dated July 23, 2019, subsequently transferred to BRFI from BRF on June 21, 2021 (the "Warrant Agreement"). F5 · price: On July 20, 2022, BRFI exercised 1,541,666.7 warrants to purchase 1,541,666 shares of Common Stock of the Issuer at a price per share of $0.01 per the warrant agreement between BRF and the Issuer dated July 23, 2019, subsequently transferred to BRFI from BRF on June 21, 2021 (the "Warrant Agreement"). F1 · ownership.nature: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), BRF Investments, LLC, a Delaware corporation ("BRFI"), and Bryant R. Riley. F2 · ownership.nature: BRF is the parent company of BRS and BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS and BRFI. F3 · ownership.nature: 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 BRS and BRFI. Each of BRF, BRS, BRFI, 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. Read SEC document |
| July 20, 2022 Filed Jul 27, 2022 01:30 UTC | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | OtherCommon Stock, $0.01 par value per share | 1,541,666 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-22-041838 · ownership.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Securities, Inc. · CIK 0001505748 · 10% owner BRF Investments, LLC · CIK 0001880803 · 10% owner RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By BRF Investments, LLC Disclosed balance after: 15,256,240 F5 · kind: On July 20, 2022, BRFI exercised 1,541,666.7 warrants to purchase 1,541,666 shares of Common Stock of the Issuer at a price per share of $0.01 per the warrant agreement between BRF and the Issuer dated July 23, 2019, subsequently transferred to BRFI from BRF on June 21, 2021 (the "Warrant Agreement"). F5 · price: On July 20, 2022, BRFI exercised 1,541,666.7 warrants to purchase 1,541,666 shares of Common Stock of the Issuer at a price per share of $0.01 per the warrant agreement between BRF and the Issuer dated July 23, 2019, subsequently transferred to BRFI from BRF on June 21, 2021 (the "Warrant Agreement"). F1 · ownership.nature: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), BRF Investments, LLC, a Delaware corporation ("BRFI"), and Bryant R. Riley. F2 · ownership.nature: BRF is the parent company of BRS and BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS and BRFI. F3 · ownership.nature: 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 BRS and BRFI. Each of BRF, BRS, BRFI, 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. Read SEC document |
| July 19, 2022 Filed Jul 21, 2022 01:30 UTC | ALTA EQUIPMENT GROUP INC. ALTG · Entity 6371 | PurchaseCommon Stock | 43 | $10.15 | $436.45 |
DisclosureSEC source: 0001213900-22-040561 · ownership.xml · nonDerivative · entry 2 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Securities, Inc. · CIK 0001505748 · 10% owner BRF Investments, LLC · CIK 0001880803 · 10% owner RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Securities, Inc. Disclosed balance after: 2,017,390 F6 · balance_after: Represents 1,686,508 shares of Common Stock previously held by BRS and subsequently transferred to BRFI. F7 · balance_after: Represents 2,293,121 shares of Common Stock previously held by BRS and subsequently transferred to B. Riley Principal Investments, LLC ("BRPI") and then transferred to BRFI. F1 · ownership.nature: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), BRF Investments, LLC, a Delaware limited liability company ("BRFI"), and Bryant R. Riley. F2 · ownership.nature: BRF is the parent company of BRS and BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS and BRFI. F3 · ownership.nature: 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 BRS and BRFI. Each of BRF, BRS, BRFI, 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. Read SEC document |
| July 19, 2022 Filed Jul 22, 2022 01:30 UTC | FaZe Holdings Inc. FAZE · Entity 92650 | OtherWarrants (right to buy) · Derivative | 173,333 | Not disclosed Strike: $11.50 | Not disclosed |
DisclosureSEC source: 0001213900-22-040794 · ownership.xml · derivative · entry 5 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal 150 Sponsor Co., LLC · CIK 0001839013 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Principal 150 Sponsor Co., LLC Disclosed balance after: 173,333 Underlying: Class A Common Stock · 173,333 shares Expires not disclosed F5 · kind: The Sponsor owned 520,000 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 (the "Registration Statement"), which automatically separated into their component securities upon the closing of the Business Combination. F5 · price: The Sponsor owned 520,000 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 (the "Registration Statement"), which automatically separated into their component securities upon the closing of the Business Combination. F9 · derivative.exercise_date: The warrants will become exercisable 30 days after the completion of the Business Combination. The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation. F9 · derivative.expiration_date: The warrants will become exercisable 30 days after the completion of the Business Combination. The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation. F1 · ownership.nature: B. Riley Principal Investments, LLC ("BRPI") is the managing member of B. Riley Principal 150 Sponsor Co., LLC ("Sponsor") and is a wholly-owned subsidiary of B. Riley Financial, Inc. ("BRF"). BRPI and BRF have voting and dispositive power over the securities held by the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities directly held by BRPI, and each of BRPI and BRF may be deemed to indirectly beneficially own the securities directly held by the Sponsor. F2 · ownership.nature: 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 securities directly held by the Sponsor and BRPI. Each of BRF, the Sponsor, BRPI, and Bryant R. Riley disclaims beneficial ownership of any securities reported herein, except to the extent of its/his respective pecuniary interest therein, directly or indirectly. Read SEC document |
| July 19, 2022 Filed Jul 22, 2022 01:30 UTC | FaZe Holdings Inc. FAZE · Entity 92650 | OtherClass B Common Stock · Derivative | 4,312,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-22-040794 · ownership.xml · derivative · entry 4 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal 150 Sponsor Co., LLC · CIK 0001839013 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Principal 150 Sponsor Co., LLC Disclosed balance after: 0 Underlying: Class A Common Stock · 4,312,500 shares Expires not disclosed F4 · derivative.exercise_price: The shares of BRPM Class B common stock automatically converted into shares of BRPM Class A Common Stock at the time of the Business Combination on a one-for-one basis pursuant to the terms of the BRPM Class B common stock. Includes an aggregate of 2,156,250 shares subject to forfeiture if the vesting conditions set forth in the Sponsor Support Agreement dated as of October 24, 2021 ("Sponsor Support Agreement") by and among BRPM, Legacy FaZe, and the Sponsor are not met. F4 · kind: The shares of BRPM Class B common stock automatically converted into shares of BRPM Class A Common Stock at the time of the Business Combination on a one-for-one basis pursuant to the terms of the BRPM Class B common stock. Includes an aggregate of 2,156,250 shares subject to forfeiture if the vesting conditions set forth in the Sponsor Support Agreement dated as of October 24, 2021 ("Sponsor Support Agreement") by and among BRPM, Legacy FaZe, and the Sponsor are not met. F4 · shares: The shares of BRPM Class B common stock automatically converted into shares of BRPM Class A Common Stock at the time of the Business Combination on a one-for-one basis pursuant to the terms of the BRPM Class B common stock. Includes an aggregate of 2,156,250 shares subject to forfeiture if the vesting conditions set forth in the Sponsor Support Agreement dated as of October 24, 2021 ("Sponsor Support Agreement") by and among BRPM, Legacy FaZe, and the Sponsor are not met. F4 · price: The shares of BRPM Class B common stock automatically converted into shares of BRPM Class A Common Stock at the time of the Business Combination on a one-for-one basis pursuant to the terms of the BRPM Class B common stock. Includes an aggregate of 2,156,250 shares subject to forfeiture if the vesting conditions set forth in the Sponsor Support Agreement dated as of October 24, 2021 ("Sponsor Support Agreement") by and among BRPM, Legacy FaZe, and the Sponsor are not met. F4 · derivative.exercise_date: The shares of BRPM Class B common stock automatically converted into shares of BRPM Class A Common Stock at the time of the Business Combination on a one-for-one basis pursuant to the terms of the BRPM Class B common stock. Includes an aggregate of 2,156,250 shares subject to forfeiture if the vesting conditions set forth in the Sponsor Support Agreement dated as of October 24, 2021 ("Sponsor Support Agreement") by and among BRPM, Legacy FaZe, and the Sponsor are not met. F4 · derivative.expiration_date: The shares of BRPM Class B common stock automatically converted into shares of BRPM Class A Common Stock at the time of the Business Combination on a one-for-one basis pursuant to the terms of the BRPM Class B common stock. Includes an aggregate of 2,156,250 shares subject to forfeiture if the vesting conditions set forth in the Sponsor Support Agreement dated as of October 24, 2021 ("Sponsor Support Agreement") by and among BRPM, Legacy FaZe, and the Sponsor are not met. F4 · derivative.underlying_shares: The shares of BRPM Class B common stock automatically converted into shares of BRPM Class A Common Stock at the time of the Business Combination on a one-for-one basis pursuant to the terms of the BRPM Class B common stock. Includes an aggregate of 2,156,250 shares subject to forfeiture if the vesting conditions set forth in the Sponsor Support Agreement dated as of October 24, 2021 ("Sponsor Support Agreement") by and among BRPM, Legacy FaZe, and the Sponsor are not met. F1 · ownership.nature: B. Riley Principal Investments, LLC ("BRPI") is the managing member of B. Riley Principal 150 Sponsor Co., LLC ("Sponsor") and is a wholly-owned subsidiary of B. Riley Financial, Inc. ("BRF"). BRPI and BRF have voting and dispositive power over the securities held by the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities directly held by BRPI, and each of BRPI and BRF may be deemed to indirectly beneficially own the securities directly held by the Sponsor. F2 · ownership.nature: 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 securities directly held by the Sponsor and BRPI. Each of BRF, the Sponsor, BRPI, and Bryant R. Riley disclaims beneficial ownership of any securities reported herein, except to the extent of its/his respective pecuniary interest therein, directly or indirectly. Read SEC document |
| July 19, 2022 Filed Jul 22, 2022 01:30 UTC | FaZe Holdings Inc. FAZE · Entity 92650 | GrantCommon Stock | 200,000 | $10.00 | $2,000,000.00 |
DisclosureSEC source: 0001213900-22-040794 · ownership.xml · nonDerivative · entry 3 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal 150 Sponsor Co., LLC · CIK 0001839013 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,000 F7 · kind: In connection with the Business Combination, Bryant R. Riley acquired an aggregate of 200,000 shares of Common Stock of the issuer at a price of $10.00 per share in a private placement pursuant to a Subscription Agreement dated as of October 24, 2021 by and among BRPM and Bryant R. Riley. F8 · ownership.direct: Represents shares held directly by Bryant R. Riley. Read SEC document |
| July 19, 2022 Filed Jul 22, 2022 01:30 UTC | FaZe Holdings Inc. FAZE · Entity 92650 | GrantCommon Stock | 7,342,500 | $10.00 | $73,425,000.00 |
DisclosureSEC source: 0001213900-22-040794 · ownership.xml · nonDerivative · entry 2 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal 150 Sponsor Co., LLC · CIK 0001839013 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By. B. Riley Principal Investments, LLC Disclosed balance after: 7,342,500 F6 · kind: In connection with the Business Combination, BRPI acquired (i) an aggregate of 2,000,000 shares of Common Stock of the issuer at a price of $10.00 per share in a private placement pursuant to a Subscription Agreement dated as of October 24, 2021 by and among BRPM and BRPI and (ii) an aggregate of 5,342,500 shares of Common Stock of the issuer at a price of $10.00 per share in a private placement pursuant to the Sponsor Support Agreement dated as of October 24, 2021 by and among BRPM, Legacy FaZe, and B. Riley Principal 150 Sponsor Co., LLC ("Sponsor") and the Backstop Subscription Agreement dated as of July 19, 2022, by and between BRPM and BRPI. F1 · ownership.nature: B. Riley Principal Investments, LLC ("BRPI") is the managing member of B. Riley Principal 150 Sponsor Co., LLC ("Sponsor") and is a wholly-owned subsidiary of B. Riley Financial, Inc. ("BRF"). BRPI and BRF have voting and dispositive power over the securities held by the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities directly held by BRPI, and each of BRPI and BRF may be deemed to indirectly beneficially own the securities directly held by the Sponsor. F2 · ownership.nature: 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 securities directly held by the Sponsor and BRPI. Each of BRF, the Sponsor, BRPI, and Bryant R. Riley disclaims beneficial ownership of any securities reported herein, except to the extent of its/his respective pecuniary interest therein, directly or indirectly. Read SEC document |
| July 19, 2022 Filed Jul 22, 2022 01:30 UTC | FaZe Holdings Inc. FAZE · Entity 92650 | OtherCommon Stock | 4,312,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-22-040794 · ownership.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal 150 Sponsor Co., LLC · CIK 0001839013 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Principal 150 Sponsor Co., LLC Disclosed balance after: 4,832,500 F3 · security: In connection with the consummation of the business combination (the "Business Combination") and pursuant to the Agreement and Plan of Merger, dated as of October 24, 2021 (as amended on December 29, 2021 and March 10, 2022, the "Merger Agreement"), by and among B. Riley Principal 150 Merger Corp., a Delaware corporation ("BRPM"), BRPM Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of BRPM ("Merger Sub"), and FaZe Clan Inc. ("Legacy FaZe"), pursuant to which Merger Sub merged with and into Legacy FaZe, with Legacy FaZe surviving as a wholly-owned subsidiary of BRPM (which subsequently changed its name to "FaZe Holdings Inc.", the "Issuer"), the Issuer adopted an Amended and Restated Certificate of Incorporation which re-classified the BRPM Class A Common Stock into shares of the Issuer's single class of Common Stock. F4 · kind: The shares of BRPM Class B common stock automatically converted into shares of BRPM Class A Common Stock at the time of the Business Combination on a one-for-one basis pursuant to the terms of the BRPM Class B common stock. Includes an aggregate of 2,156,250 shares subject to forfeiture if the vesting conditions set forth in the Sponsor Support Agreement dated as of October 24, 2021 ("Sponsor Support Agreement") by and among BRPM, Legacy FaZe, and the Sponsor are not met. F4 · shares: The shares of BRPM Class B common stock automatically converted into shares of BRPM Class A Common Stock at the time of the Business Combination on a one-for-one basis pursuant to the terms of the BRPM Class B common stock. Includes an aggregate of 2,156,250 shares subject to forfeiture if the vesting conditions set forth in the Sponsor Support Agreement dated as of October 24, 2021 ("Sponsor Support Agreement") by and among BRPM, Legacy FaZe, and the Sponsor are not met. F4 · price: The shares of BRPM Class B common stock automatically converted into shares of BRPM Class A Common Stock at the time of the Business Combination on a one-for-one basis pursuant to the terms of the BRPM Class B common stock. Includes an aggregate of 2,156,250 shares subject to forfeiture if the vesting conditions set forth in the Sponsor Support Agreement dated as of October 24, 2021 ("Sponsor Support Agreement") by and among BRPM, Legacy FaZe, and the Sponsor are not met. F4 · balance_after: The shares of BRPM Class B common stock automatically converted into shares of BRPM Class A Common Stock at the time of the Business Combination on a one-for-one basis pursuant to the terms of the BRPM Class B common stock. Includes an aggregate of 2,156,250 shares subject to forfeiture if the vesting conditions set forth in the Sponsor Support Agreement dated as of October 24, 2021 ("Sponsor Support Agreement") by and among BRPM, Legacy FaZe, and the Sponsor are not met. F5 · balance_after: The Sponsor owned 520,000 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 (the "Registration Statement"), which automatically separated into their component securities upon the closing of the Business Combination. F1 · ownership.nature: B. Riley Principal Investments, LLC ("BRPI") is the managing member of B. Riley Principal 150 Sponsor Co., LLC ("Sponsor") and is a wholly-owned subsidiary of B. Riley Financial, Inc. ("BRF"). BRPI and BRF have voting and dispositive power over the securities held by the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities directly held by BRPI, and each of BRPI and BRF may be deemed to indirectly beneficially own the securities directly held by the Sponsor. F2 · ownership.nature: 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 securities directly held by the Sponsor and BRPI. Each of BRF, the Sponsor, BRPI, and Bryant R. Riley disclaims beneficial ownership of any securities reported herein, except to the extent of its/his respective pecuniary interest therein, directly or indirectly. Read SEC document |
| July 18, 2022 Filed Jul 21, 2022 01:30 UTC | ALTA EQUIPMENT GROUP INC. ALTG · Entity 6371 | PurchaseCommon Stock | 20,200 | $10.12 | $204,345.22 |
DisclosureSEC source: 0001213900-22-040561 · ownership.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Securities, Inc. · CIK 0001505748 · 10% owner BRF Investments, LLC · CIK 0001880803 · 10% owner RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Securities, Inc. Disclosed balance after: 2,017,347 F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $10.05 to $10.15, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares purchased at each separate price. F6 · balance_after: Represents 1,686,508 shares of Common Stock previously held by BRS and subsequently transferred to BRFI. F7 · balance_after: Represents 2,293,121 shares of Common Stock previously held by BRS and subsequently transferred to B. Riley Principal Investments, LLC ("BRPI") and then transferred to BRFI. F1 · ownership.nature: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), BRF Investments, LLC, a Delaware limited liability company ("BRFI"), and Bryant R. Riley. F2 · ownership.nature: BRF is the parent company of BRS and BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS and BRFI. F3 · ownership.nature: 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 BRS and BRFI. Each of BRF, BRS, BRFI, 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. Read SEC document |
| July 14, 2022 Filed Jul 14, 2022 21:30 UTC | Lazydays Holdings, Inc. LAZY · Entity 72472 | PurchaseCommon Stock | 7,527 | $12.20 | $91,833.92 |
DisclosureSEC source: 0001213900-22-039465 · ownership.xml · nonDerivative · entry 2 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Securities, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner BRF Investments, LLC · CIK 0001880803 · 10% owner RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Securities, Inc. Disclosed balance after: 811,507 F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $12.15 to $12.25, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · ownership.nature: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Investments, LLC, a Delaware corporation ("BRFI"), and Bryant R. Riley. F2 · ownership.nature: BRF is the parent company of BRS, BRPI and BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS, BRPI and BRFI. F3 · ownership.nature: 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 held by BRS, BRPI and BRFI. Each of BRF, BRS, BRPI, BRFI 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. Read SEC document |
| July 12, 2022 Filed Jul 14, 2022 21:30 UTC | Lazydays Holdings, Inc. LAZY · Entity 72472 | PurchaseCommon Stock | 2,600 | $11.50 | $29,900.00 |
DisclosureSEC source: 0001213900-22-039465 · ownership.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Securities, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner BRF Investments, LLC · CIK 0001880803 · 10% owner RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Securities, Inc. Disclosed balance after: 803,980 F1 · ownership.nature: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Investments, LLC, a Delaware corporation ("BRFI"), and Bryant R. Riley. F2 · ownership.nature: BRF is the parent company of BRS, BRPI and BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS, BRPI and BRFI. F3 · ownership.nature: 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 held by BRS, BRPI and BRFI. Each of BRF, BRS, BRPI, BRFI 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. Read SEC document |
| July 11, 2022 Filed Jul 11, 2022 21:30 UTC | Lazydays Holdings, Inc. LAZY · Entity 72472 | PurchaseCommon Stock | 1,925 | $11.50 | $22,137.50 |
DisclosureSEC source: 0001213900-22-038666 · ownership.xml · nonDerivative · entry 2 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Securities, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner BRF Investments, LLC · CIK 0001880803 · 10% owner RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Securities, Inc. Disclosed balance after: 801,380 F1 · ownership.nature: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Investments, LLC, a Delaware corporation ("BRFI"), and Bryant R. Riley. F2 · ownership.nature: BRF is the parent company of BRS, BRPI and BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS, BRPI and BRFI. F3 · ownership.nature: 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 held by BRS, BRPI and BRFI. Each of BRF, BRS, BRPI, BRFI 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. Read SEC document |
| July 07, 2022 Filed Jul 11, 2022 21:30 UTC | Lazydays Holdings, Inc. LAZY · Entity 72472 | PurchaseCommon Stock | 30 | $11.50 | $344.96 |
DisclosureSEC source: 0001213900-22-038666 · ownership.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Securities, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner BRF Investments, LLC · CIK 0001880803 · 10% owner RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Securities, Inc. Disclosed balance after: 799,455 F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $11.495 to $11.50, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · ownership.nature: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Investments, LLC, a Delaware corporation ("BRFI"), and Bryant R. Riley. F2 · ownership.nature: BRF is the parent company of BRS, BRPI and BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS, BRPI and BRFI. F3 · ownership.nature: 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 held by BRS, BRPI and BRFI. Each of BRF, BRS, BRPI, BRFI 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. Read SEC document |
| July 06, 2022 Filed Jul 8, 2022 01:30 UTC | ALTA EQUIPMENT GROUP INC. ALTG · Entity 6371 | PurchaseCommon Stock | 4,722 | $8.85 | $41,789.70 |
DisclosureSEC source: 0001213900-22-038063 · ownership.xml · nonDerivative · entry 2 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Securities, Inc. · CIK 0001505748 · 10% owner RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Securities, Inc. Disclosed balance after: 5,976,776 F1 · ownership.nature: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), and Bryant R. Riley. F2 · ownership.nature: BRF is the parent company of BRS. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS. F3 · ownership.nature: 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 BRS. Each of BRF, BRS, 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. Read SEC document |
| July 05, 2022 Filed Jul 8, 2022 01:30 UTC | ALTA EQUIPMENT GROUP INC. ALTG · Entity 6371 | PurchaseCommon Stock | 4,489 | $8.79 | $39,452.92 |
DisclosureSEC source: 0001213900-22-038063 · ownership.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Securities, Inc. · CIK 0001505748 · 10% owner RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Securities, Inc. Disclosed balance after: 5,972,054 F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.77 to $8.80, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · ownership.nature: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), and Bryant R. Riley. F2 · ownership.nature: BRF is the parent company of BRS. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS. F3 · ownership.nature: 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 BRS. Each of BRF, BRS, 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. Read SEC document |
| July 01, 2022 Filed Jul 6, 2022 21:33 UTC | Lazydays Holdings, Inc. LAZY · Entity 72472 | PurchaseCommon Stock | 7,754 | $11.46 | $88,849.98 |
DisclosureSEC source: 0001213900-22-037738 · ownership.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Securities, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner BRF Investments, LLC · CIK 0001880803 · 10% owner RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Principal Investments, LLC Disclosed balance after: 247,663 F1 · ownership.nature: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Investments, LLC, a Delaware corporation ("BRFI"), and Bryant R. Riley. F2 · ownership.nature: BRF is the parent company of BRS, BRPI and BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS, BRPI and BRFI. F3 · ownership.nature: 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 held by BRS, BRPI and BRFI. Each of BRF, BRS, BRPI, BRFI 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. Read SEC document |
| June 29, 2022 Filed Jun 29, 2022 21:30 UTC | Lazydays Holdings, Inc. LAZY · Entity 72472 | PurchaseCommon Stock | 36,333 | $11.83 | $429,746.72 |
DisclosureSEC source: 0001213900-22-036036 · ownership.xml · nonDerivative · entry 3 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Securities, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner BRF Investments, LLC · CIK 0001880803 · 10% owner RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Principal Investments, LLC Disclosed balance after: 239,909 F1 · ownership.nature: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Investments, LLC, a Delaware corporation ("BRFI"), and Bryant R. Riley. F2 · ownership.nature: BRF is the parent company of BRS, BRPI and BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS, BRPI and BRFI. F3 · ownership.nature: 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 held by BRS, BRPI and BRFI. Each of BRF, BRS, BRPI, BRFI 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. Read SEC document |
| June 29, 2022 Filed Jul 2, 2022 01:30 UTC | ALTA EQUIPMENT GROUP INC. ALTG · Entity 6371 | PurchaseCommon Stock | 50,000 | $8.91 | $445,465.00 |
DisclosureSEC source: 0001213900-22-036936 · ownership.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Securities, Inc. · CIK 0001505748 · 10% owner RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Securities, Inc. Disclosed balance after: 5,967,565 F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.83 to $9.00, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · ownership.nature: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), and Bryant R. Riley. F2 · ownership.nature: BRF is the parent company of BRS. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS. F3 · ownership.nature: 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 BRS. Each of BRF, BRS, 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. Read SEC document |
| June 28, 2022 Filed Jun 29, 2022 01:30 UTC | ALTA EQUIPMENT GROUP INC. ALTG · Entity 6371 | PurchaseCommon Stock | 3,227 | $9.50 | $30,656.50 |
DisclosureSEC source: 0001213900-22-035674 · ownership.xml · nonDerivative · entry 3 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Securities, Inc. · CIK 0001505748 · 10% owner RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Securities, Inc. Disclosed balance after: 5,917,565 F1 · ownership.nature: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), and Bryant R. Riley. F2 · ownership.nature: BRF is the parent company of BRS. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS. F3 · ownership.nature: 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 BRS. Each of BRF, BRS, 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. Read SEC document |
| June 28, 2022 Filed Jun 29, 2022 21:30 UTC | Lazydays Holdings, Inc. LAZY · Entity 72472 | PurchaseCommon Stock | 38,667 | $12.16 | $470,248.72 |
DisclosureSEC source: 0001213900-22-036036 · ownership.xml · nonDerivative · entry 2 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Securities, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner BRF Investments, LLC · CIK 0001880803 · 10% owner RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Principal Investments, LLC Disclosed balance after: 203,576 F1 · ownership.nature: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Investments, LLC, a Delaware corporation ("BRFI"), and Bryant R. Riley. F2 · ownership.nature: BRF is the parent company of BRS, BRPI and BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS, BRPI and BRFI. F3 · ownership.nature: 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 held by BRS, BRPI and BRFI. Each of BRF, BRS, BRPI, BRFI 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. Read SEC document |
| June 27, 2022 Filed Jun 29, 2022 01:30 UTC | ALTA EQUIPMENT GROUP INC. ALTG · Entity 6371 | PurchaseCommon Stock | 6,774 | $9.50 | $64,353.00 |
DisclosureSEC source: 0001213900-22-035674 · ownership.xml · nonDerivative · entry 2 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Securities, Inc. · CIK 0001505748 · 10% owner RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Securities, Inc. Disclosed balance after: 5,914,338 F1 · ownership.nature: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), and Bryant R. Riley. F2 · ownership.nature: BRF is the parent company of BRS. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS. F3 · ownership.nature: 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 BRS. Each of BRF, BRS, 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. Read SEC document |
| June 27, 2022 Filed Jun 29, 2022 21:30 UTC | Lazydays Holdings, Inc. LAZY · Entity 72472 | PurchaseCommon Stock | 12,990 | $12.33 | $160,127.73 |
DisclosureSEC source: 0001213900-22-036036 · ownership.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Securities, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner BRF Investments, LLC · CIK 0001880803 · 10% owner RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Principal Investments, LLC Disclosed balance after: 164,909 F1 · ownership.nature: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Investments, LLC, a Delaware corporation ("BRFI"), and Bryant R. Riley. F2 · ownership.nature: BRF is the parent company of BRS, BRPI and BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS, BRPI and BRFI. F3 · ownership.nature: 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 held by BRS, BRPI and BRFI. Each of BRF, BRS, BRPI, BRFI 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. Read SEC document |
| June 24, 2022 Filed Jun 29, 2022 01:30 UTC | ALTA EQUIPMENT GROUP INC. ALTG · Entity 6371 | PurchaseCommon Stock | 25,851 | $9.50 | $245,496.61 |
DisclosureSEC source: 0001213900-22-035674 · ownership.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Securities, Inc. · CIK 0001505748 · 10% owner RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Securities, Inc. Disclosed balance after: 5,907,564 F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.46 to $9.50, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · ownership.nature: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), and Bryant R. Riley. F2 · ownership.nature: BRF is the parent company of BRS. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS. F3 · ownership.nature: 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 BRS. Each of BRF, BRS, 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. Read SEC document |
| June 22, 2022 Filed Jun 22, 2022 21:30 UTC | Lazydays Holdings, Inc. LAZY · Entity 72472 | PurchaseCommon Stock | 19,024 | $12.30 | $233,940.03 |
DisclosureSEC source: 0001213900-22-034443 · ownership.xml · nonDerivative · entry 3 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Securities, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner BRF Investments, LLC · CIK 0001880803 · 10% owner RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Principal Investments, LLC Disclosed balance after: 151,919 F1 · ownership.nature: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Investments, LLC, a Delaware corporation ("BRFI"), and Bryant R. Riley. F2 · ownership.nature: BRF is the parent company of BRS, BRPI and BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS, BRPI and BRFI. F3 · ownership.nature: 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 held by BRS, BRPI and BRFI. Each of BRF, BRS, BRPI, BRFI 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. Read SEC document |
| June 21, 2022 Filed Jun 22, 2022 21:30 UTC | Lazydays Holdings, Inc. LAZY · Entity 72472 | PurchaseCommon Stock | 20,000 | $12.66 | $253,110.00 |
DisclosureSEC source: 0001213900-22-034443 · ownership.xml · nonDerivative · entry 2 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Securities, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner BRF Investments, LLC · CIK 0001880803 · 10% owner RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Principal Investments, LLC Disclosed balance after: 132,895 F1 · ownership.nature: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Investments, LLC, a Delaware corporation ("BRFI"), and Bryant R. Riley. F2 · ownership.nature: BRF is the parent company of BRS, BRPI and BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS, BRPI and BRFI. F3 · ownership.nature: 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 held by BRS, BRPI and BRFI. Each of BRF, BRS, BRPI, BRFI 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. Read SEC document |
| June 17, 2022 Filed Jun 22, 2022 21:30 UTC | Lazydays Holdings, Inc. LAZY · Entity 72472 | PurchaseCommon Stock | 15,768 | $12.73 | $200,758.18 |
DisclosureSEC source: 0001213900-22-034443 · ownership.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Securities, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner BRF Investments, LLC · CIK 0001880803 · 10% owner RILEY BRYANT R · CIK 0001207269 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Principal Investments, LLC Disclosed balance after: 112,895 F1 · ownership.nature: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Investments, LLC, a Delaware corporation ("BRFI"), and Bryant R. Riley. F2 · ownership.nature: BRF is the parent company of BRS, BRPI and BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS, BRPI and BRFI. F3 · ownership.nature: 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 held by BRS, BRPI and BRFI. Each of BRF, BRS, BRPI, BRFI 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. Read SEC document |
| June 13, 2022 Filed Jun 14, 2022 13:00 UTC | BRC Group Holdings, Inc. RILY · Entity 6050 | GrantCommon Stock | 10,000 | $47.00 | $469,993.00 |
DisclosureSEC source: 0001213900-22-032631 · ownership.xml · nonDerivative · entry 2 RILEY BRYANT R · CIK 0001207269 · Director · Chairman and Co-CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,894,906 F1 · shares: These transactions were executed in multiple trades at prices ranging from $48.97 to $49.00 on June 10, 2022; and in multiple trades at prices ranging from $46.995 to $47.00 on June 13, 2022. The prices reported above reflect the weighted average purchase prices. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected. F2 · balance_after: Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife. 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.