organization · Reporting owner
B. Riley Securities, Inc.
Disclosed activity across 14 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Babcock & Wilcox Enterprises, Inc.BW · Entity 4934 | 10% owner | February 11, 2026 | February 13, 2026 |
| DNA X, Inc.SONM · Entity 8261 | 10% owner | October 30, 2019 | November 12, 2019 |
| Eos Energy Enterprises, Inc.EOSE · Entity 4901 | 10% owner | September 17, 2021 | September 21, 2021 |
| Select Interior Concepts, Inc.SIC · Entity 134274 | 10% owner | January 16, 2019 | January 18, 2019 |
| 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.
Babcock & Wilcox Enterprises, Inc.
Report date February 11, 2026 · Filed February 13, 2026
Jointly reported with BRC Group Holdings, Inc., BRF Investments, LLC, RILEY BRYANT R
| 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.
DNA X, Inc.
Report date October 30, 2019 · Filed November 12, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 25,500 |
Reported balance
Holding disclosure · report date 2019-10-30 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 25,500 F1: As reported on the Form 4 filed by the Reporting Person on November 1, 2019, the 25,500 shares of Common Stock were subsequently sold, and the undersigned no longer directly beneficially owns any shares of Common Stock. |
Filing footnotes · ownership attribution and instrument terms
F1: As reported on the Form 4 filed by the Reporting Person on November 1, 2019, the 25,500 shares of Common Stock were subsequently sold, and the undersigned no longer directly beneficially owns any shares of Common Stock.
Eos Energy Enterprises, Inc.
Report date September 17, 2021 · Filed September 21, 2021
Jointly reported with BRC Group Holdings, Inc., BRF Investments, LLC, B. Riley Principal Sponsor Co. II, LLC, B. RILEY PRINCIPAL INVESTMENTS, LLC, B. RILEY CAPITAL MANAGEMENT, LLC, BRC Partners Management GP, LLC, BRC Partners Opportunity Fund, LP, RILEY BRYANT R
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 1,769 |
Reported balance
After 2021-09-17 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-09-17 · Sale · Disposed 18,231 · Balance 1,769 F3: Represents shares held directly by Bryant R. Riley. |
| Class A Common StockSEC Table I · non-derivative | IndirectBy Bryant R. Riley, as UTMA custodian for Charlie Riley | 0 |
Reported balance
After 2021-09-17 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2021-09-17 · Sale · Disposed 5,000 · Balance 0 F1: This Form 4 is being filed jointly by B. Riley Financial, Inc. ("BRF"), BRF Investments, LLC ("BRFI"), B. Riley Principal Sponsor Co. II, LLC (the "Sponsor"), B. Riley Principal Investments, LLC ("BRPI"), BRC Partners Opportunity Fund, LP ("BRPLP"), BRC Partners Opportunity Fund GP, LLC ("BRPGP"), B. Riley Capital Management, LLC ("BRCM"), B. Riley Securities, Inc. ("BRS"), and Bryant R. Riley. BRF is the parent company of BRFI and BRS. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRFI and BRS, respectively. BRPI is the sole member of the Sponsor. BRF is the parent company of BRPI. As a result, BRF and BRPI may be deemed to indirectly beneficially own the shares held by the Sponsor. BRPGP is the general partner of BRPLP. BRCM is the sole member of BRPGP. BRF is the parent company of BRCM. As a result, BRF, BRPGP, and BRCM, may be deemed to indirectly beneficially own the shares held by BRPLP. 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, BRS, BRPLP and the Sponsor. Each of BRF, BRFI, the Sponsor, BRPI, BRPLP, BRPGP, BRCM, 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. |
| Class A Common StockSEC Table I · non-derivative | IndirectBy Bryant R. Riley, as UTMA custodian for Susan Riley | 0 |
Reported balance
After 2021-09-17 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2021-09-17 · Sale · Disposed 5,000 · Balance 0 F1: This Form 4 is being filed jointly by B. Riley Financial, Inc. ("BRF"), BRF Investments, LLC ("BRFI"), B. Riley Principal Sponsor Co. II, LLC (the "Sponsor"), B. Riley Principal Investments, LLC ("BRPI"), BRC Partners Opportunity Fund, LP ("BRPLP"), BRC Partners Opportunity Fund GP, LLC ("BRPGP"), B. Riley Capital Management, LLC ("BRCM"), B. Riley Securities, Inc. ("BRS"), and Bryant R. Riley. BRF is the parent company of BRFI and BRS. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRFI and BRS, respectively. BRPI is the sole member of the Sponsor. BRF is the parent company of BRPI. As a result, BRF and BRPI may be deemed to indirectly beneficially own the shares held by the Sponsor. BRPGP is the general partner of BRPLP. BRCM is the sole member of BRPGP. BRF is the parent company of BRCM. As a result, BRF, BRPGP, and BRCM, may be deemed to indirectly beneficially own the shares held by BRPLP. 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, BRS, BRPLP and the Sponsor. Each of BRF, BRFI, the Sponsor, BRPI, BRPLP, BRPGP, BRCM, 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. |
| Class A Common StockSEC Table I · non-derivative | IndirectBy Bryant R. Riley, as UTMA custodian for Abigail Riley | 0 |
Reported balance
After 2021-09-17 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2021-09-17 · Sale · Disposed 5,000 · Balance 0 F1: This Form 4 is being filed jointly by B. Riley Financial, Inc. ("BRF"), BRF Investments, LLC ("BRFI"), B. Riley Principal Sponsor Co. II, LLC (the "Sponsor"), B. Riley Principal Investments, LLC ("BRPI"), BRC Partners Opportunity Fund, LP ("BRPLP"), BRC Partners Opportunity Fund GP, LLC ("BRPGP"), B. Riley Capital Management, LLC ("BRCM"), B. Riley Securities, Inc. ("BRS"), and Bryant R. Riley. BRF is the parent company of BRFI and BRS. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRFI and BRS, respectively. BRPI is the sole member of the Sponsor. BRF is the parent company of BRPI. As a result, BRF and BRPI may be deemed to indirectly beneficially own the shares held by the Sponsor. BRPGP is the general partner of BRPLP. BRCM is the sole member of BRPGP. BRF is the parent company of BRCM. As a result, BRF, BRPGP, and BRCM, may be deemed to indirectly beneficially own the shares held by BRPLP. 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, BRS, BRPLP and the Sponsor. Each of BRF, BRFI, the Sponsor, BRPI, BRPLP, BRPGP, BRCM, 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. |
| Class A Common StockSEC Table I · non-derivative | IndirectBy Bryant R. Riley, as UTMA custodian for Eloise Riley | 0 |
Reported balance
After 2021-09-17 transaction · row 5
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 5 · 2021-09-17 · Sale · Disposed 5,000 · Balance 0 F1: This Form 4 is being filed jointly by B. Riley Financial, Inc. ("BRF"), BRF Investments, LLC ("BRFI"), B. Riley Principal Sponsor Co. II, LLC (the "Sponsor"), B. Riley Principal Investments, LLC ("BRPI"), BRC Partners Opportunity Fund, LP ("BRPLP"), BRC Partners Opportunity Fund GP, LLC ("BRPGP"), B. Riley Capital Management, LLC ("BRCM"), B. Riley Securities, Inc. ("BRS"), and Bryant R. Riley. BRF is the parent company of BRFI and BRS. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRFI and BRS, respectively. BRPI is the sole member of the Sponsor. BRF is the parent company of BRPI. As a result, BRF and BRPI may be deemed to indirectly beneficially own the shares held by the Sponsor. BRPGP is the general partner of BRPLP. BRCM is the sole member of BRPGP. BRF is the parent company of BRCM. As a result, BRF, BRPGP, and BRCM, may be deemed to indirectly beneficially own the shares held by BRPLP. 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, BRS, BRPLP and the Sponsor. Each of BRF, BRFI, the Sponsor, BRPI, BRPLP, BRPGP, BRCM, 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. |
| Class A Common StockSEC Table I · non-derivative | IndirectBy BRF Investments, LLC | 6,038,250 |
Reported balance
Holding disclosure · report date 2021-09-17 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 6,038,250 F1: This Form 4 is being filed jointly by B. Riley Financial, Inc. ("BRF"), BRF Investments, LLC ("BRFI"), B. Riley Principal Sponsor Co. II, LLC (the "Sponsor"), B. Riley Principal Investments, LLC ("BRPI"), BRC Partners Opportunity Fund, LP ("BRPLP"), BRC Partners Opportunity Fund GP, LLC ("BRPGP"), B. Riley Capital Management, LLC ("BRCM"), B. Riley Securities, Inc. ("BRS"), and Bryant R. Riley. BRF is the parent company of BRFI and BRS. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRFI and BRS, respectively. BRPI is the sole member of the Sponsor. BRF is the parent company of BRPI. As a result, BRF and BRPI may be deemed to indirectly beneficially own the shares held by the Sponsor. BRPGP is the general partner of BRPLP. BRCM is the sole member of BRPGP. BRF is the parent company of BRCM. As a result, BRF, BRPGP, and BRCM, may be deemed to indirectly beneficially own the shares held by BRPLP. 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, BRS, BRPLP and the Sponsor. Each of BRF, BRFI, the Sponsor, BRPI, BRPLP, BRPGP, BRCM, 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. F4: Represents 3,871,250 shares of common stock previously held directly by the Sponsor and subsequently transferred to BRFI. |
| 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 2021-09-17 · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · Balance 325,000 F1: This Form 4 is being filed jointly by B. Riley Financial, Inc. ("BRF"), BRF Investments, LLC ("BRFI"), B. Riley Principal Sponsor Co. II, LLC (the "Sponsor"), B. Riley Principal Investments, LLC ("BRPI"), BRC Partners Opportunity Fund, LP ("BRPLP"), BRC Partners Opportunity Fund GP, LLC ("BRPGP"), B. Riley Capital Management, LLC ("BRCM"), B. Riley Securities, Inc. ("BRS"), and Bryant R. Riley. BRF is the parent company of BRFI and BRS. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRFI and BRS, respectively. BRPI is the sole member of the Sponsor. BRF is the parent company of BRPI. As a result, BRF and BRPI may be deemed to indirectly beneficially own the shares held by the Sponsor. BRPGP is the general partner of BRPLP. BRCM is the sole member of BRPGP. BRF is the parent company of BRCM. As a result, BRF, BRPGP, and BRCM, may be deemed to indirectly beneficially own the shares held by BRPLP. 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, BRS, BRPLP and the Sponsor. Each of BRF, BRFI, the Sponsor, BRPI, BRPLP, BRPGP, BRCM, 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. F5: Represents 325,000 warrants previously held directly by the Sponsor and subsequently transferred to BRFI. |
| Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.50 · Expires 2025-11-16 | IndirectBy BRC Partners Opportunity Fund, LP | 25,000 |
Reported balance
Holding disclosure · report date 2021-09-17 · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · Balance 25,000 F1: This Form 4 is being filed jointly by B. Riley Financial, Inc. ("BRF"), BRF Investments, LLC ("BRFI"), B. Riley Principal Sponsor Co. II, LLC (the "Sponsor"), B. Riley Principal Investments, LLC ("BRPI"), BRC Partners Opportunity Fund, LP ("BRPLP"), BRC Partners Opportunity Fund GP, LLC ("BRPGP"), B. Riley Capital Management, LLC ("BRCM"), B. Riley Securities, Inc. ("BRS"), and Bryant R. Riley. BRF is the parent company of BRFI and BRS. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRFI and BRS, respectively. BRPI is the sole member of the Sponsor. BRF is the parent company of BRPI. As a result, BRF and BRPI may be deemed to indirectly beneficially own the shares held by the Sponsor. BRPGP is the general partner of BRPLP. BRCM is the sole member of BRPGP. BRF is the parent company of BRCM. As a result, BRF, BRPGP, and BRCM, may be deemed to indirectly beneficially own the shares held by BRPLP. 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, BRS, BRPLP and the Sponsor. Each of BRF, BRFI, the Sponsor, BRPI, BRPLP, BRPGP, BRCM, 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. ("BRF"), BRF Investments, LLC ("BRFI"), B. Riley Principal Sponsor Co. II, LLC (the "Sponsor"), B. Riley Principal Investments, LLC ("BRPI"), BRC Partners Opportunity Fund, LP ("BRPLP"), BRC Partners Opportunity Fund GP, LLC ("BRPGP"), B. Riley Capital Management, LLC ("BRCM"), B. Riley Securities, Inc. ("BRS"), and Bryant R. Riley. BRF is the parent company of BRFI and BRS. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRFI and BRS, respectively. BRPI is the sole member of the Sponsor. BRF is the parent company of BRPI. As a result, BRF and BRPI may be deemed to indirectly beneficially own the shares held by the Sponsor. BRPGP is the general partner of BRPLP. BRCM is the sole member of BRPGP. BRF is the parent company of BRCM. As a result, BRF, BRPGP, and BRCM, may be deemed to indirectly beneficially own the shares held by BRPLP.
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, BRS, BRPLP and the Sponsor. Each of BRF, BRFI, the Sponsor, BRPI, BRPLP, BRPGP, BRCM, 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.
F4: Represents 3,871,250 shares of common stock previously held directly by the Sponsor and subsequently transferred to BRFI.
F5: Represents 325,000 warrants previously held directly by the Sponsor and subsequently transferred to BRFI.
Select Interior Concepts, Inc.
Report date January 16, 2019 · Filed January 18, 2019
Jointly reported with BRC Group Holdings, Inc., BRC Partners Opportunity Fund, LP, BRC Partners Management GP, LLC, B. RILEY CAPITAL MANAGEMENT, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectSee notes | 2,762,457 |
Last balance in matching sequence
After 2019-01-18 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2019-01-16 · Purchase · Acquired 900 · Balance 2,761,539 F5: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.80 to $7.83, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares sold at each separate price. F1: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR") (collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Class A Common Stock, par value $0.01 per share ("Common Stock"), of Select Interior Concepts, Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. F3: Represents shares of Common Stock owned directly by BRFBR. F4: Certain of these transactions may be matchable transactions under Section 16(b) of the Exchange Act in connection with market making activities. The reporting person will disgorge the full amount of any recoverable profits to the Issuer. Row 2 · 2019-01-17 · Purchase · Acquired 311 · Balance 2,761,850 F6: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.90 to $8.00, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares sold at each separate price. F1: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR") (collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Class A Common Stock, par value $0.01 per share ("Common Stock"), of Select Interior Concepts, Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. F3: Represents shares of Common Stock owned directly by BRFBR. F4: Certain of these transactions may be matchable transactions under Section 16(b) of the Exchange Act in connection with market making activities. The reporting person will disgorge the full amount of any recoverable profits to the Issuer. Row 3 · 2019-01-18 · Purchase · Acquired 607 · Balance 2,762,457 F7: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.90 to $7.96, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares sold at each separate price. F1: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR") (collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Class A Common Stock, par value $0.01 per share ("Common Stock"), of Select Interior Concepts, Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. F3: Represents shares of Common Stock owned directly by BRFBR. F4: Certain of these transactions may be matchable transactions under Section 16(b) of the Exchange Act in connection with market making activities. The reporting person will disgorge the full amount of any recoverable profits to the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR") (collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Class A Common Stock, par value $0.01 per share ("Common Stock"), of Select Interior Concepts, Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein.
F2: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR.
F3: Represents shares of Common Stock owned directly by BRFBR.
F4: Certain of these transactions may be matchable transactions under Section 16(b) of the Exchange Act in connection with market making activities. The reporting person will disgorge the full amount of any recoverable profits to the Issuer.
F5: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.80 to $7.83, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares sold 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 $7.90 to $8.00, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares sold at each separate price.
F7: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.90 to $7.96, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares sold at each separate price.
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, RILEY BRYANT R
| 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 (9)
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., BRF Investments, LLC, RILEY BRYANT R
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.
Franchise Group, Inc.
Report date January 26, 2021 · Filed January 27, 2021
Jointly reported with BRC Group Holdings, Inc., RILEY BRYANT R
Section 16 reporting ended · disclosed 2021-01-27. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy B. Riley Securities, Inc. | 3,113,991 |
Reported balance
After 2021-01-26 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-01-26 · Sale · Disposed 757,000 · Balance 3,113,991 F1: This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), and Bryant R. Riley (collectively, the "Filing Persons"). Each of the Filing 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 BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("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. | 676,471 |
Reported balance
Holding disclosure · report date 2021-01-26 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 676,471 F1: This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), and Bryant R. Riley (collectively, the "Filing Persons"). Each of the Filing 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 BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("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 | Direct | 74,517 |
Reported balance
Holding disclosure · report date 2021-01-26 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 74,517 F4: Represents shares or stock options held directly by Bryant R. Riley. |
| Common StockSEC Table I · non-derivative | IndirectBy Bryant R. Riley, as UTMA custodian for Susan Riley | 9,824 |
Reported balance
Holding disclosure · report date 2021-01-26 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 9,824 F1: This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), and Bryant R. Riley (collectively, the "Filing Persons"). Each of the Filing 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 BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("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 Bryant R. Riley, as UTMA custodian for Charlie Riley | 9,824 |
Reported balance
Holding disclosure · report date 2021-01-26 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 9,824 F1: This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), and Bryant R. Riley (collectively, the "Filing Persons"). Each of the Filing 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 BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("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 Bryant R. Riley, as UTMA custodian for Eloise Riley | 9,824 |
Reported balance
Holding disclosure · report date 2021-01-26 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 9,824 F1: This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), and Bryant R. Riley (collectively, the "Filing Persons"). Each of the Filing 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 BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("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 Bryant R. Riley, as UTMA custodian for Abigail Riley | 9,824 |
Reported balance
Holding disclosure · report date 2021-01-26 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 9,824 F1: This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), and Bryant R. Riley (collectively, the "Filing Persons"). Each of the Filing 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 BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("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"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), and Bryant R. Riley (collectively, the "Filing Persons"). Each of the Filing 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 BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("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.
F4: Represents shares or stock options held directly by Bryant R. Riley.
Lazydays Holdings, Inc.
Report date November 10, 2022 · Filed November 14, 2022
Jointly reported with BRC Group Holdings, Inc., B. RILEY PRINCIPAL INVESTMENTS, LLC, BRF Investments, LLC, RILEY BRYANT R
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.
MAGICJACK VOCALTEC LTD
Report date November 14, 2018 · Filed November 16, 2018
Jointly reported with BRC Group Holdings, Inc.
Section 16 reporting ended · disclosed 2018-11-16. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary sharesSEC Table I · non-derivative | IndirectSee Footnote | 0 |
Reported balance
After 2018-11-14 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-11-14 · Purchase · Acquired 14,998,699 · Balance 0 F1: On November 14, 2018, pursuant to an Agreement and Plan of Merger, dated as of November 9, 2017 (the "Merger Agreement"), by and among the Issuer, B. Riley Financial, Inc., a Delaware corporation ("BRF"), and B. R. Acquisition Ltd., an indirect wholly-owned subsidiary of B. Riley ("Merger Sub"), Merger Sub merged with and into the Issuer, with the Issuer surviving the merger (the "Merger") as a wholly-owned subsidiary of BRF. Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each ordinary share, no par value per share ("Ordinary Share"), of the Issuer issued and outstanding immediately prior to the Effective Time was automatically cancelled and ceased to exist. F2: In addition to BRF, this Form 4 is being filed jointly by B. Riley FBR, Inc., a Delaware corporation. |
Filing footnotes · ownership attribution and instrument terms
F1: On November 14, 2018, pursuant to an Agreement and Plan of Merger, dated as of November 9, 2017 (the "Merger Agreement"), by and among the Issuer, B. Riley Financial, Inc., a Delaware corporation ("BRF"), and B. R. Acquisition Ltd., an indirect wholly-owned subsidiary of B. Riley ("Merger Sub"), Merger Sub merged with and into the Issuer, with the Issuer surviving the merger (the "Merger") as a wholly-owned subsidiary of BRF. Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each ordinary share, no par value per share ("Ordinary Share"), of the Issuer issued and outstanding immediately prior to the Effective Time was automatically cancelled and ceased to exist.
F2: In addition to BRF, this Form 4 is being filed jointly by B. Riley FBR, Inc., a Delaware corporation.
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, RILEY BRYANT R
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 PRINCIPAL INVESTMENTS, LLC, BRF Investments, LLC, RILEY BRYANT R
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., RILEY BRYANT R
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., BRF Investments, LLC, RILEY BRYANT R
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., BRF Investments, LLC, RILEY BRYANT R
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 |
|---|---|---|---|---|---|---|
| June 26, 2023 Filed Jun 27, 2023 16:09 UTC | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | PurchaseCommon Stock, $0.01 par value per share | 50,000 | $5.83 | $291,525.00 |
DisclosureSEC source: 0001213900-23-051944 · 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: No plan indicated Ownership: Direct Disclosed balance after: 469,848 F4 · ownership.direct: Represents shares held directly by Bryant R. Riley. Read SEC document |
| June 23, 2023 Filed Jun 24, 2023 01:30 UTC | Paradium.AI, Inc. AREN · Entity 7275 | PurchaseCommon Stock, par value $0.01 per share | 100,000 | $3.64 | $364,350.00 |
DisclosureSEC source: 0001213900-23-051497 · ownership.xml · nonDerivative · entry 4 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: No plan indicated Ownership: Direct Disclosed balance after: 1,588,642 F4 · ownership.direct: Represents shares held directly by Bryant R. Riley. Read SEC document |
| June 23, 2023 Filed Jun 24, 2023 01:30 UTC | Paradium.AI, Inc. AREN · Entity 7275 | PurchaseCommon Stock, par value $0.01 per share | 102,197 | $3.65 | $372,661.36 |
DisclosureSEC source: 0001213900-23-051497 · 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: No plan indicated Ownership: Indirect · By B. Riley Securities, Inc. Disclosed balance after: 1,363,246 F6 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.49 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 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 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 · ownership.nature: 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. Read SEC document |
| June 22, 2023 Filed Jun 24, 2023 01:30 UTC | Paradium.AI, Inc. AREN · Entity 7275 | PurchaseCommon Stock, par value $0.01 per share | 29,598 | $3.50 | $103,593.00 |
DisclosureSEC source: 0001213900-23-051497 · 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: No plan indicated Ownership: Indirect · By B. Riley Securities, Inc. Disclosed balance after: 1,261,049 F1 · ownership.nature: 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 · ownership.nature: 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 · ownership.nature: 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. Read SEC document |
| June 21, 2023 Filed Jun 24, 2023 01:30 UTC | Paradium.AI, Inc. AREN · Entity 7275 | PurchaseCommon Stock, par value $0.01 per share | 13,424 | $3.50 | $46,984.00 |
DisclosureSEC source: 0001213900-23-051497 · 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: No plan indicated Ownership: Indirect · By B. Riley Securities, Inc. Disclosed balance after: 1,231,451 F1 · ownership.nature: 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 · ownership.nature: 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 · ownership.nature: 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. Read SEC document |
| June 20, 2023 Filed Jun 21, 2023 01:30 UTC | Paradium.AI, Inc. AREN · Entity 7275 | PurchaseCommon Stock, par value $0.01 per share | 3,976 | $3.50 | $13,916.00 |
DisclosureSEC source: 0001213900-23-050213 · 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: No plan indicated Ownership: Indirect · By B. Riley Securities, Inc. Disclosed balance after: 1,218,027 F1 · ownership.nature: 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 · ownership.nature: 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 · ownership.nature: 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. Read SEC document |
| June 16, 2023 Filed Jun 21, 2023 01:30 UTC | Paradium.AI, Inc. AREN · Entity 7275 | PurchaseCommon Stock, par value $0.01 per share | 18,717 | $3.50 | $65,509.50 |
DisclosureSEC source: 0001213900-23-050213 · 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: No plan indicated Ownership: Indirect · By B. Riley Securities, Inc. Disclosed balance after: 1,214,051 F7 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.499 to $3.50, 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 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 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 · ownership.nature: 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. Read SEC document |
| June 15, 2023 Filed Jun 21, 2023 01:30 UTC | Paradium.AI, Inc. AREN · Entity 7275 | PurchaseCommon Stock, par value $0.01 per share | 1,041 | $3.50 | $3,643.50 |
DisclosureSEC source: 0001213900-23-050213 · 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: No plan indicated Ownership: Indirect · By B. Riley Securities, Inc. Disclosed balance after: 1,195,334 F6 · balance_after: Represents 770,380 shares of Common Stock previously held by BRS and subsequently transferred to BRFI. F1 · ownership.nature: 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 · ownership.nature: 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 · ownership.nature: 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. Read SEC document |
| June 06, 2023 Filed Jun 7, 2023 13:00 UTC | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | PurchaseCommon Stock, $0.01 par value per share | 5,250 | $5.51 | $28,938.00 |
DisclosureSEC source: 0001213900-23-046979 · ownership.xml · nonDerivative · entry 5 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: No plan indicated Ownership: Indirect · By Bryant R. Riley, as UTMA custodian for Eloise Riley Disclosed balance after: 43,556 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. 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 |
| June 06, 2023 Filed Jun 7, 2023 13:00 UTC | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | PurchaseCommon Stock, $0.01 par value per share | 5,618 | $5.51 | $30,977.09 |
DisclosureSEC source: 0001213900-23-046979 · ownership.xml · nonDerivative · entry 4 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: No plan indicated Ownership: Indirect · By Bryant R. Riley, as UTMA custodian for Susan Riley Disclosed balance after: 41,935 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. 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 |
| June 06, 2023 Filed Jun 7, 2023 13:00 UTC | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | PurchaseCommon Stock, $0.01 par value per share | 5,615 | $5.51 | $30,960.55 |
DisclosureSEC source: 0001213900-23-046979 · ownership.xml · nonDerivative · entry 3 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: No plan indicated Ownership: Indirect · By Bryant R. Riley, as UTMA custodian for Charlie Riley Disclosed balance after: 43,926 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. 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 |
| June 06, 2023 Filed Jun 7, 2023 13:00 UTC | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | PurchaseCommon Stock, $0.01 par value per share | 5,100 | $5.51 | $28,107.63 |
DisclosureSEC source: 0001213900-23-046979 · 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: No plan indicated Ownership: Indirect · By Bryant R. Riley, as UTMA custodian for Abigail Riley Disclosed balance after: 43,561 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. 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 |
| June 06, 2023 Filed Jun 7, 2023 13:00 UTC | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | PurchaseCommon Stock, $0.01 par value per share | 18,417 | $5.52 | $101,573.44 |
DisclosureSEC source: 0001213900-23-046979 · 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: No plan indicated Ownership: Direct Disclosed balance after: 419,848 F4 · ownership.direct: Represents shares held directly by Bryant R. Riley. Read SEC document |
| June 02, 2023 Filed Jun 2, 2023 16:05 UTC | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | PurchaseCommon Stock, $0.01 par value per share | 2,383 | $5.05 | $12,022.47 |
DisclosureSEC source: 0001213900-23-045519 · ownership.xml · nonDerivative · entry 5 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: No plan indicated Ownership: Indirect · By Bryant R. Riley, as UTMA custodian for Eloise Riley Disclosed balance after: 38,306 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. 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 |
| June 02, 2023 Filed Jun 2, 2023 16:05 UTC | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | PurchaseCommon Stock, $0.01 par value per share | 2,382 | $5.05 | $12,017.43 |
DisclosureSEC source: 0001213900-23-045519 · ownership.xml · nonDerivative · entry 4 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: No plan indicated Ownership: Indirect · By Bryant R. Riley, as UTMA custodian for Susan Riley Disclosed balance after: 36,317 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. 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 |
| June 02, 2023 Filed Jun 2, 2023 16:05 UTC | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | PurchaseCommon Stock, $0.01 par value per share | 2,385 | $5.05 | $12,032.56 |
DisclosureSEC source: 0001213900-23-045519 · ownership.xml · nonDerivative · entry 3 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: No plan indicated Ownership: Indirect · By Bryant R. Riley, as UTMA custodian for Charlie Riley Disclosed balance after: 38,311 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. 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 |
| June 02, 2023 Filed Jun 2, 2023 16:05 UTC | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | PurchaseCommon Stock, $0.01 par value per share | 2,386 | $5.05 | $12,037.61 |
DisclosureSEC source: 0001213900-23-045519 · 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: No plan indicated Ownership: Indirect · By Bryant R. Riley, as UTMA custodian for Abigail Riley Disclosed balance after: 38,461 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. 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 |
| June 02, 2023 Filed Jun 2, 2023 16:05 UTC | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | PurchaseCommon Stock, $0.01 par value per share | 7,464 | $5.05 | $37,656.63 |
DisclosureSEC source: 0001213900-23-045519 · 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: No plan indicated Ownership: Direct Disclosed balance after: 401,431 F4 · ownership.direct: Represents shares held directly by Bryant R. Riley. Read SEC document |
| May 26, 2023 Filed Jun 1, 2023 01:30 UTC | Paradium.AI, Inc. AREN · Entity 7275 | PurchaseCommon Stock, par value $0.01 per share | 20,210 | $3.45 | $69,724.50 |
DisclosureSEC source: 0001213900-23-044626 · 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: No plan indicated Ownership: Direct Disclosed balance after: 1,488,642 F4 · ownership.direct: Represents shares held directly by Bryant R. Riley. Read SEC document |
| May 22, 2023 Filed May 25, 2023 01:30 UTC | Paradium.AI, Inc. AREN · Entity 7275 | PurchaseCommon Stock, par value $0.01 per share | 2,574 | $3.45 | $8,880.30 |
DisclosureSEC source: 0001213900-23-042823 · 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: No plan indicated Ownership: Direct Disclosed balance after: 1,468,432 F4 · ownership.direct: Represents shares held directly by Bryant R. Riley. Read SEC document |
| May 19, 2023 Filed May 20, 2023 01:30 UTC | Paradium.AI, Inc. AREN · Entity 7275 | PurchaseCommon Stock, par value $0.01 per share | 8,244 | $3.45 | $28,441.80 |
DisclosureSEC source: 0001213900-23-041685 · 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: No plan indicated Ownership: Direct Disclosed balance after: 1,465,858 F4 · ownership.direct: Represents shares held directly by Bryant R. Riley. Read SEC document |
| May 17, 2023 Filed May 20, 2023 01:30 UTC | Paradium.AI, Inc. AREN · Entity 7275 | PurchaseCommon Stock, par value $0.01 per share | 100 | $3.45 | $345.00 |
DisclosureSEC source: 0001213900-23-041685 · 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: No plan indicated Ownership: Direct Disclosed balance after: 1,457,614 F4 · ownership.direct: Represents shares held directly by Bryant R. Riley. Read SEC document |
| May 16, 2023 Filed May 17, 2023 14:56 UTC | Paradium.AI, Inc. AREN · Entity 7275 | PurchaseCommon Stock, par value $0.01 per share | 50,000 | $3.57 | $178,500.00 |
DisclosureSEC source: 0001213900-23-040715 · 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: No plan indicated Ownership: Direct Disclosed balance after: 1,457,514 F6 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.38 to $3.70, 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. F4 · ownership.direct: Represents shares held directly by Bryant R. Riley. Read SEC document |
| May 15, 2023 Filed May 16, 2023 13:00 UTC | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | PurchaseCommon Stock, $0.01 par value per share | 2,188 | $5.48 | $11,991.99 |
DisclosureSEC source: 0001213900-23-040165 · ownership.xml · nonDerivative · entry 6 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: No plan indicated Ownership: Indirect · By Bryant R. Riley, as UTMA custodian for Eloise Riley Disclosed balance after: 35,923 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. 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 |
| May 15, 2023 Filed May 16, 2023 13:00 UTC | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | PurchaseCommon Stock, $0.01 par value per share | 2,188 | $5.48 | $11,991.99 |
DisclosureSEC source: 0001213900-23-040165 · ownership.xml · nonDerivative · entry 5 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: No plan indicated Ownership: Indirect · By Bryant R. Riley, as UTMA custodian for Susan Riley Disclosed balance after: 33,935 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. 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 |
| May 15, 2023 Filed May 16, 2023 13:00 UTC | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | PurchaseCommon Stock, $0.01 par value per share | 2,193 | $5.48 | $12,019.39 |
DisclosureSEC source: 0001213900-23-040165 · ownership.xml · nonDerivative · entry 4 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: No plan indicated Ownership: Indirect · By Bryant R. Riley, as UTMA custodian for Charlie Riley Disclosed balance after: 35,926 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. 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 |
| May 15, 2023 Filed May 16, 2023 13:00 UTC | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | PurchaseCommon Stock, $0.01 par value per share | 2,342 | $5.48 | $12,835.33 |
DisclosureSEC source: 0001213900-23-040165 · ownership.xml · nonDerivative · entry 3 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: No plan indicated Ownership: Indirect · By Bryant R. Riley, as UTMA custodian for Abigail Riley Disclosed balance after: 36,075 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. 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 |
| May 15, 2023 Filed May 16, 2023 13:00 UTC | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | PurchaseCommon Stock, $0.01 par value per share | 22,179 | $5.48 | $121,558.66 |
DisclosureSEC source: 0001213900-23-040165 · 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: No plan indicated Ownership: Direct Disclosed balance after: 393,967 F4 · ownership.direct: Represents shares held directly by Bryant R. Riley. Read SEC document |
| May 12, 2023 Filed May 16, 2023 13:00 UTC | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | PurchaseCommon Stock, $0.01 par value per share | 75,000 | $5.43 | $407,137.50 |
DisclosureSEC source: 0001213900-23-040165 · 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: No plan indicated Ownership: Direct Disclosed balance after: 371,788 F4 · ownership.direct: Represents shares held directly by Bryant R. Riley. Read SEC document |
| April 17, 2023 Filed Apr 17, 2023 17:41 UTC | ALTA EQUIPMENT GROUP INC. ALTG · Entity 6371 | PurchaseCommon Stock | 13,500 | $13.82 | $186,522.75 |
DisclosureSEC source: 0001213900-23-030159 · ownership.xml · nonDerivative · entry 3 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: No plan indicated Ownership: Indirect · By B. Riley Securities, Inc. Disclosed balance after: 1,160,134 F7 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $13.705 to $13.9399, 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"), 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 |
| April 14, 2023 Filed Apr 17, 2023 17:41 UTC | ALTA EQUIPMENT GROUP INC. ALTG · Entity 6371 | PurchaseCommon Stock | 34,500 | $13.69 | $472,256.70 |
DisclosureSEC source: 0001213900-23-030159 · 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: No plan indicated Ownership: Indirect · By B. Riley Securities, Inc. Disclosed balance after: 1,146,634 F6 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $13.575 to $13.81, 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"), 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 |
| April 13, 2023 Filed Apr 17, 2023 17:41 UTC | ALTA EQUIPMENT GROUP INC. ALTG · Entity 6371 | PurchaseCommon Stock | 36,000 | $13.81 | $497,300.40 |
DisclosureSEC source: 0001213900-23-030159 · 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: No plan indicated Ownership: Indirect · By B. Riley Securities, Inc. Disclosed balance after: 1,112,134 F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $13.655 to $13.94, 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"), 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 |
| April 11, 2023 Filed Apr 13, 2023 15:55 UTC | Paradium.AI, Inc. AREN · Entity 7275 | PurchaseCommon Stock, par value $0.01 per share | 19,306 | $3.93 | $75,833.97 |
DisclosureSEC source: 0001213900-23-029340 · 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: No plan indicated Ownership: Direct Disclosed balance after: 1,407,514 F4 · ownership.direct: Represents shares held directly by Bryant R. Riley. Read SEC document |
| April 05, 2023 Filed Apr 7, 2023 01:30 UTC | Paradium.AI, Inc. AREN · Entity 7275 | PurchaseCommon Stock, par value $0.01 per share | 9,493 | $3.48 | $33,066.97 |
DisclosureSEC source: 0001213900-23-028125 · 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: No plan indicated Ownership: Direct Disclosed balance after: 1,388,208 F4 · ownership.direct: Represents shares held directly by Bryant R. Riley. Read SEC document |
| April 05, 2023 Filed Apr 7, 2023 01:30 UTC | ALTA EQUIPMENT GROUP INC. ALTG · Entity 6371 | PurchaseCommon Stock | 40,000 | $13.49 | $539,764.00 |
DisclosureSEC source: 0001213900-23-028124 · 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: No plan indicated Ownership: Indirect · By B. Riley Securities, Inc. Disclosed balance after: 1,076,134 F6 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $13.4 to $13.6, 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"), 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 |
| April 04, 2023 Filed Apr 7, 2023 01:30 UTC | ALTA EQUIPMENT GROUP INC. ALTG · Entity 6371 | PurchaseCommon Stock | 15,000 | $14.15 | $212,271.00 |
DisclosureSEC source: 0001213900-23-028124 · 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: No plan indicated Ownership: Indirect · By B. Riley Securities, Inc. Disclosed balance after: 1,036,134 F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $14.05 to $14.36, 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"), 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 |
| March 31, 2023 Filed Mar 31, 2023 13:19 UTC | Paradium.AI, Inc. AREN · Entity 7275 | PurchaseCommon Stock, par value $0.01 per share | 7,732 | $3.88 | $30,000.16 |
DisclosureSEC source: 0001213900-23-025026 · ownership.xml · nonDerivative · entry 6 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: No plan indicated Ownership: Indirect · By Bryant R. Riley, as UTMA custodian for Abigail Riley Disclosed balance after: 23,232 F1 · ownership.nature: 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 · ownership.nature: 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. Read SEC document |
| March 31, 2023 Filed Mar 31, 2023 13:19 UTC | Paradium.AI, Inc. AREN · Entity 7275 | PurchaseCommon Stock, par value $0.01 per share | 7,732 | $3.88 | $30,000.16 |
DisclosureSEC source: 0001213900-23-025026 · ownership.xml · nonDerivative · entry 5 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: No plan indicated Ownership: Indirect · By Bryant R. Riley, as UTMA custodian for Susan Riley Disclosed balance after: 23,232 F1 · ownership.nature: 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 · ownership.nature: 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. Read SEC document |
| March 31, 2023 Filed Mar 31, 2023 13:19 UTC | Paradium.AI, Inc. AREN · Entity 7275 | PurchaseCommon Stock, par value $0.01 per share | 7,732 | $3.88 | $30,000.16 |
DisclosureSEC source: 0001213900-23-025026 · ownership.xml · nonDerivative · entry 4 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: No plan indicated Ownership: Indirect · By Bryant R. Riley, as UTMA custodian for Eloise Riley Disclosed balance after: 23,232 F1 · ownership.nature: 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 · ownership.nature: 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. Read SEC document |
| March 31, 2023 Filed Mar 31, 2023 13:19 UTC | Paradium.AI, Inc. AREN · Entity 7275 | PurchaseCommon Stock, par value $0.01 per share | 10,309 | $3.88 | $39,998.92 |
DisclosureSEC source: 0001213900-23-025026 · 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: No plan indicated Ownership: Indirect · By Bryant R. Riley, as UTMA custodian for Charlie Riley Disclosed balance after: 25,809 F1 · ownership.nature: 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 · ownership.nature: 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. Read SEC document |
| March 31, 2023 Filed Mar 31, 2023 13:19 UTC | Paradium.AI, Inc. AREN · Entity 7275 | PurchaseCommon Stock, par value $0.01 per share | 170,104 | $3.88 | $660,003.52 |
DisclosureSEC source: 0001213900-23-025026 · 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: No plan indicated Ownership: Direct Disclosed balance after: 1,378,715 F4 · ownership.direct: Represents shares held directly by Bryant R. Riley. Read SEC document |
| March 31, 2023 Filed Mar 31, 2023 13:19 UTC | Paradium.AI, Inc. AREN · Entity 7275 | PurchaseCommon Stock, par value $0.01 per share | 805,412 | $3.88 | $3,124,998.56 |
DisclosureSEC source: 0001213900-23-025026 · 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: No plan indicated Ownership: Indirect · By B. Riley Securities, Inc. Disclosed balance after: 1,964,673 F1 · ownership.nature: 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 · ownership.nature: 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 · ownership.nature: 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. Read SEC document |
| November 29, 2022 Filed Nov 30, 2022 14:00 UTC | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | PurchaseCommon Stock, $0.01 par value per share | 500,000 | $4.46 | $2,229,100.00 |
DisclosureSEC source: 0001213900-22-076041 · 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: 12,032,399 F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.36 to $4.50, 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"), 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 |
| November 11, 2022 Filed Nov 16, 2022 02:30 UTC | TRANSACT TECHNOLOGIES INC TACT · Entity 7179 | PurchaseCommon Stock | 24,788 | $5.15 | $127,779.66 |
DisclosureSEC source: 0001213900-22-072950 · 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: 1,112,633 F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.93 to $5.25, 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"), 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 |
| November 10, 2022 Filed Nov 14, 2022 17:25 UTC | Lazydays Holdings, Inc. LAZY · Entity 72472 | SaleCommon Stock | 698,791 | $14.20 | $9,922,832.20 |
DisclosureSEC source: 0001213900-22-072431 · 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 BRF Investments, LLC Disclosed balance after: 0 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 |
| November 10, 2022 Filed Nov 14, 2022 17:25 UTC | Lazydays Holdings, Inc. LAZY · Entity 72472 | SaleCommon Stock | 247,663 | $14.20 | $3,516,814.60 |
DisclosureSEC source: 0001213900-22-072431 · 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: 0 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 |
| November 10, 2022 Filed Nov 14, 2022 17:25 UTC | Lazydays Holdings, Inc. LAZY · Entity 72472 | SaleCommon Stock | 753,546 | $14.20 | $10,700,353.20 |
DisclosureSEC source: 0001213900-22-072431 · 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: 284,980 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 |
| November 09, 2022 Filed Nov 11, 2022 02:30 UTC | TRANSACT TECHNOLOGIES INC TACT · Entity 7179 | PurchaseCommon Stock | 185 | $4.00 | $740.00 |
DisclosureSEC source: 0001213900-22-071436 · 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: 1,087,845 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 |
| November 09, 2022 Filed Nov 14, 2022 11:01 UTC | Babcock & Wilcox Enterprises, Inc. BW · Entity 4934 | PurchaseCommon Stock, $0.01 par value per share | 1,300 | $4.10 | $5,330.00 |
DisclosureSEC source: 0001213900-22-071444 · 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: 11,532,399 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 |
| November 08, 2022 Filed Nov 11, 2022 02:30 UTC | TRANSACT TECHNOLOGIES INC TACT · Entity 7179 | PurchaseCommon Stock | 1,100 | $4.00 | $4,400.00 |
DisclosureSEC source: 0001213900-22-071436 · 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: 1,087,660 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.