organization · Reporting owner
B. RILEY PRINCIPAL INVESTMENTS, LLC
Disclosed activity across 8 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ALTA EQUIPMENT GROUP INC.ALTG · Entity 6371 | 10% owner | April 12, 2021 | April 12, 2021 |
| Eos Energy Enterprises, Inc.EOSE · Entity 4901 | 10% owner | September 17, 2021 | September 21, 2021 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
ALTA EQUIPMENT GROUP INC.
Report date April 12, 2021 · Filed April 12, 2021
Jointly reported with BRC Group Holdings, Inc., B. Riley Principal Sponsor Co., LLC, B. RILEY CAPITAL MANAGEMENT, LLC, BRC Partners Management GP, LLC, BRC Partners Opportunity Fund, LP, B. Riley Securities, Inc., RILEY BRYANT R
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy B. Riley Securities, Inc. | 4,811,666 |
Reported balance
After 2021-04-12 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-04-12 · Conversion · Acquired 132,826 · Balance 4,811,666 F5: As reported in the Current Report on Form 8-K filed by Alta Equipment Group Inc. (the "Issuer") with the Securities and Exchange Commission (the "SEC") on March 22, 2021, on March 22, 2021, the Issuer filed a definitive Schedule 14C Information Statement (the "Information Statement") with the SEC describing the mandatory exchange, pursuant to Amendment No. 1 to the Warrant Agreement (as defined below), dated March 3, 2021 between the Issuer and Continental Stock Transfer & Trust Company (the "Warrant Agent"), of the Issuer's outstanding warrants (the "Warrants") for shares of the Issuer's common stock at an exchange ratio of 0.263 shares of common stock per Warrant, which became effective on April 12, 2021, the next business day following the twentieth calendar day after the mailing of the Information Statement to the holders of the Warrants. F1: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company, a registered investment advisor ("BRCM"), B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI") and Bryant R. Riley. F2: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the shares held by BRPLP. BRPI is the sole member of the Sponsor. BRF is the parent company of BRS and BRPI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS and BPRI. As a result, BRF and BRPI may be deemed to indirectly beneficially own the shares held by the Sponsor. F3: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRF, BRS, BRPLP and the Sponsor. Each of BRF, BRS, BRPGP, BRCM, BRPLP, the Sponsor, and BRPI (collectively, the "B. Riley Entities") and Bryant R. Riley disclaims beneficial ownership of the outstanding shares of Common Stock reported herein, except to the extent of its/his respective pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy BRC Partners Opportunity Fund, L.P. | 1,350,453 |
Reported balance
After 2021-04-12 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2021-04-12 · Conversion · Acquired 180,976 · Balance 1,350,453 F5: As reported in the Current Report on Form 8-K filed by Alta Equipment Group Inc. (the "Issuer") with the Securities and Exchange Commission (the "SEC") on March 22, 2021, on March 22, 2021, the Issuer filed a definitive Schedule 14C Information Statement (the "Information Statement") with the SEC describing the mandatory exchange, pursuant to Amendment No. 1 to the Warrant Agreement (as defined below), dated March 3, 2021 between the Issuer and Continental Stock Transfer & Trust Company (the "Warrant Agent"), of the Issuer's outstanding warrants (the "Warrants") for shares of the Issuer's common stock at an exchange ratio of 0.263 shares of common stock per Warrant, which became effective on April 12, 2021, the next business day following the twentieth calendar day after the mailing of the Information Statement to the holders of the Warrants. F1: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company, a registered investment advisor ("BRCM"), B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI") and Bryant R. Riley. F2: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the shares held by BRPLP. BRPI is the sole member of the Sponsor. BRF is the parent company of BRS and BRPI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS and BPRI. As a result, BRF and BRPI may be deemed to indirectly beneficially own the shares held by the Sponsor. F3: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRF, BRS, BRPLP and the Sponsor. Each of BRF, BRS, BRPGP, BRCM, BRPLP, the Sponsor, and BRPI (collectively, the "B. Riley Entities") and Bryant R. Riley disclaims beneficial ownership of the outstanding shares of Common Stock reported herein, except to the extent of its/his respective pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy B. Riley Principal Sponsor Co., LLC | 54,243 |
Reported balance
After 2021-04-12 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2021-04-12 · Conversion · Acquired 54,243 · Balance 54,243 F5: As reported in the Current Report on Form 8-K filed by Alta Equipment Group Inc. (the "Issuer") with the Securities and Exchange Commission (the "SEC") on March 22, 2021, on March 22, 2021, the Issuer filed a definitive Schedule 14C Information Statement (the "Information Statement") with the SEC describing the mandatory exchange, pursuant to Amendment No. 1 to the Warrant Agreement (as defined below), dated March 3, 2021 between the Issuer and Continental Stock Transfer & Trust Company (the "Warrant Agent"), of the Issuer's outstanding warrants (the "Warrants") for shares of the Issuer's common stock at an exchange ratio of 0.263 shares of common stock per Warrant, which became effective on April 12, 2021, the next business day following the twentieth calendar day after the mailing of the Information Statement to the holders of the Warrants. F1: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company, a registered investment advisor ("BRCM"), B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI") and Bryant R. Riley. F2: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the shares held by BRPLP. BRPI is the sole member of the Sponsor. BRF is the parent company of BRS and BRPI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS and BPRI. As a result, BRF and BRPI may be deemed to indirectly beneficially own the shares held by the Sponsor. F3: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRF, BRS, BRPLP and the Sponsor. Each of BRF, BRS, BRPGP, BRCM, BRPLP, the Sponsor, and BRPI (collectively, the "B. Riley Entities") and Bryant R. Riley disclaims beneficial ownership of the outstanding shares of Common Stock reported herein, except to the extent of its/his respective pecuniary interest therein. |
| Warrants (right to buy)SEC Table II · derivative / convertible security | IndirectBy B. Riley Securities, Inc. | 0 |
Reported balance
After 2021-04-12 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2021-04-12 · Conversion · Disposed 505,045 · Balance 0 F5: As reported in the Current Report on Form 8-K filed by Alta Equipment Group Inc. (the "Issuer") with the Securities and Exchange Commission (the "SEC") on March 22, 2021, on March 22, 2021, the Issuer filed a definitive Schedule 14C Information Statement (the "Information Statement") with the SEC describing the mandatory exchange, pursuant to Amendment No. 1 to the Warrant Agreement (as defined below), dated March 3, 2021 between the Issuer and Continental Stock Transfer & Trust Company (the "Warrant Agent"), of the Issuer's outstanding warrants (the "Warrants") for shares of the Issuer's common stock at an exchange ratio of 0.263 shares of common stock per Warrant, which became effective on April 12, 2021, the next business day following the twentieth calendar day after the mailing of the Information Statement to the holders of the Warrants. F6: Pursuant to the warrant agreement (the "Warrant Agreement") dated as of April 8, 2019, by and between the Issuer (f/k/a B. Riley Principal Merger Corp., or BRPM) and the Warrant Agent, the Warrants originally became exercisable on April 11, 2020, which was 12 months from the closing of the initial public offering of the Issuer. F7: Pursuant to the Warrant Agreement, the Warrants were originally set to expire five years after the completion of the business combination or earlier upon redemption or liquidation, as further described in the Prospectus filed by BRPM with the SEC on April 9, 2019. F1: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company, a registered investment advisor ("BRCM"), B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI") and Bryant R. Riley. F2: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the shares held by BRPLP. BRPI is the sole member of the Sponsor. BRF is the parent company of BRS and BRPI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS and BPRI. As a result, BRF and BRPI may be deemed to indirectly beneficially own the shares held by the Sponsor. F3: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRF, BRS, BRPLP and the Sponsor. Each of BRF, BRS, BRPGP, BRCM, BRPLP, the Sponsor, and BRPI (collectively, the "B. Riley Entities") and Bryant R. Riley disclaims beneficial ownership of the outstanding shares of Common Stock reported herein, except to the extent of its/his respective pecuniary interest therein. |
| Warrants (right to buy)SEC Table II · derivative / convertible security | IndirectBy BRC Partners Opportunity Fund, L.P. | 0 |
Reported balance
After 2021-04-12 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2021-04-12 · Conversion · Disposed 688,125 · Balance 0 F5: As reported in the Current Report on Form 8-K filed by Alta Equipment Group Inc. (the "Issuer") with the Securities and Exchange Commission (the "SEC") on March 22, 2021, on March 22, 2021, the Issuer filed a definitive Schedule 14C Information Statement (the "Information Statement") with the SEC describing the mandatory exchange, pursuant to Amendment No. 1 to the Warrant Agreement (as defined below), dated March 3, 2021 between the Issuer and Continental Stock Transfer & Trust Company (the "Warrant Agent"), of the Issuer's outstanding warrants (the "Warrants") for shares of the Issuer's common stock at an exchange ratio of 0.263 shares of common stock per Warrant, which became effective on April 12, 2021, the next business day following the twentieth calendar day after the mailing of the Information Statement to the holders of the Warrants. F6: Pursuant to the warrant agreement (the "Warrant Agreement") dated as of April 8, 2019, by and between the Issuer (f/k/a B. Riley Principal Merger Corp., or BRPM) and the Warrant Agent, the Warrants originally became exercisable on April 11, 2020, which was 12 months from the closing of the initial public offering of the Issuer. F7: Pursuant to the Warrant Agreement, the Warrants were originally set to expire five years after the completion of the business combination or earlier upon redemption or liquidation, as further described in the Prospectus filed by BRPM with the SEC on April 9, 2019. F1: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company, a registered investment advisor ("BRCM"), B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI") and Bryant R. Riley. F2: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the shares held by BRPLP. BRPI is the sole member of the Sponsor. BRF is the parent company of BRS and BRPI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS and BPRI. As a result, BRF and BRPI may be deemed to indirectly beneficially own the shares held by the Sponsor. F3: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRF, BRS, BRPLP and the Sponsor. Each of BRF, BRS, BRPGP, BRCM, BRPLP, the Sponsor, and BRPI (collectively, the "B. Riley Entities") and Bryant R. Riley disclaims beneficial ownership of the outstanding shares of Common Stock reported herein, except to the extent of its/his respective pecuniary interest therein. |
| Warrants (right to buy)SEC Table II · derivative / convertible security | IndirectBy B. Riley Principal Sponsor Co., LLC | 0 |
Reported balance
After 2021-04-12 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2021-04-12 · Conversion · Disposed 206,250 · Balance 0 F5: As reported in the Current Report on Form 8-K filed by Alta Equipment Group Inc. (the "Issuer") with the Securities and Exchange Commission (the "SEC") on March 22, 2021, on March 22, 2021, the Issuer filed a definitive Schedule 14C Information Statement (the "Information Statement") with the SEC describing the mandatory exchange, pursuant to Amendment No. 1 to the Warrant Agreement (as defined below), dated March 3, 2021 between the Issuer and Continental Stock Transfer & Trust Company (the "Warrant Agent"), of the Issuer's outstanding warrants (the "Warrants") for shares of the Issuer's common stock at an exchange ratio of 0.263 shares of common stock per Warrant, which became effective on April 12, 2021, the next business day following the twentieth calendar day after the mailing of the Information Statement to the holders of the Warrants. F6: Pursuant to the warrant agreement (the "Warrant Agreement") dated as of April 8, 2019, by and between the Issuer (f/k/a B. Riley Principal Merger Corp., or BRPM) and the Warrant Agent, the Warrants originally became exercisable on April 11, 2020, which was 12 months from the closing of the initial public offering of the Issuer. F7: Pursuant to the Warrant Agreement, the Warrants were originally set to expire five years after the completion of the business combination or earlier upon redemption or liquidation, as further described in the Prospectus filed by BRPM with the SEC on April 9, 2019. F1: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company, a registered investment advisor ("BRCM"), B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI") and Bryant R. Riley. F2: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the shares held by BRPLP. BRPI is the sole member of the Sponsor. BRF is the parent company of BRS and BRPI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS and BPRI. As a result, BRF and BRPI may be deemed to indirectly beneficially own the shares held by the Sponsor. F3: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRF, BRS, BRPLP and the Sponsor. Each of BRF, BRS, BRPGP, BRCM, BRPLP, the Sponsor, and BRPI (collectively, the "B. Riley Entities") and Bryant R. Riley disclaims beneficial ownership of the outstanding shares of Common Stock reported herein, except to the extent of its/his respective pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | Direct | 211,174 |
Reported balance
Holding disclosure · report date 2021-04-12 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 211,174 F4: Represents shares held directly by Bryant R. Riley. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company, a registered investment advisor ("BRCM"), B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI") and Bryant R. Riley.
F2: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the shares held by BRPLP. BRPI is the sole member of the Sponsor. BRF is the parent company of BRS and BRPI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS and BPRI. As a result, BRF and BRPI may be deemed to indirectly beneficially own the shares held by the Sponsor.
F3: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRF, BRS, BRPLP and the Sponsor. Each of BRF, BRS, BRPGP, BRCM, BRPLP, the Sponsor, and BRPI (collectively, the "B. Riley Entities") and Bryant R. Riley disclaims beneficial ownership of the outstanding shares of Common Stock reported herein, except to the extent of its/his respective pecuniary interest therein.
F4: Represents shares held directly by Bryant R. Riley.
F5: As reported in the Current Report on Form 8-K filed by Alta Equipment Group Inc. (the "Issuer") with the Securities and Exchange Commission (the "SEC") on March 22, 2021, on March 22, 2021, the Issuer filed a definitive Schedule 14C Information Statement (the "Information Statement") with the SEC describing the mandatory exchange, pursuant to Amendment No. 1 to the Warrant Agreement (as defined below), dated March 3, 2021 between the Issuer and Continental Stock Transfer & Trust Company (the "Warrant Agent"), of the Issuer's outstanding warrants (the "Warrants") for shares of the Issuer's common stock at an exchange ratio of 0.263 shares of common stock per Warrant, which became effective on April 12, 2021, the next business day following the twentieth calendar day after the mailing of the Information Statement to the holders of the Warrants.
F6: Pursuant to the warrant agreement (the "Warrant Agreement") dated as of April 8, 2019, by and between the Issuer (f/k/a B. Riley Principal Merger Corp., or BRPM) and the Warrant Agent, the Warrants originally became exercisable on April 11, 2020, which was 12 months from the closing of the initial public offering of the Issuer.
F7: Pursuant to the Warrant Agreement, the Warrants were originally set to expire five years after the completion of the business combination or earlier upon redemption or liquidation, as further described in the Prospectus filed by BRPM with the SEC on April 9, 2019.
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 CAPITAL MANAGEMENT, LLC, BRC Partners Management GP, LLC, BRC Partners Opportunity Fund, LP, B. Riley Securities, Inc., 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.
Past disclosures · reporting ended (6)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
B. Riley Principal 250 Merger Corp.
Report date June 02, 2023 · Filed June 02, 2023
Jointly reported with BRC Group Holdings, Inc., B. Riley Principal 250 Sponsor Co., LLC, RILEY BRYANT R
Section 16 reporting ended · disclosed 2023-06-02. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class B. Common StockSEC Table II · derivative / convertible security | IndirectBy B. Riley Principal 250 Sponsor Co. LLC | 0 |
Reported balance
After 2023-06-02 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2023-06-02 · Disposition to issuer · Disposed 1 · Balance 0 F4: The shares of Class B common stock were convertible for shares of the Issuer's Class A common stock at the time of the Issuer's initial business combination as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333- 253464) (the "Registration Statement") and had no expiration date. F1: On April 21, 2023, the Issuer announced that its board of directors had determined to redeem all of its outstanding shares of Class A common stock sold in the Issuer's initial public offering (the "Public Shares"), effective as of May 4, 2023, because the Issuer will not be able to consummate an initial business combination within the time period required by its amended and restated certificate of incorporation. F2: As of the close of business on May 4, 2023, the Public Shares were deemed cancelled and represented only the rights to receive the per-share redemption price. In connection with the redemption of the Public Shares and anticipated dissolution of the Issuer, on May 4, 2023, B. Riley Principal 250 Sponsor Co., LLC (the "Sponsor") forfeited to the Issuer for no consideration 4,312,499 shares of Class B common stock and 600,000 shares of Class A common stock. In connection with the dissolution of the Issuer, on June 2, 2023, the Sponsor surrendered to the Issuer one share of Class B common stock. F3: B. Riley Principal Investments, LLC ("BRPI") is the managing member of B. Riley Principal 250 Sponsor Co., LLC (the "Sponsor") and is a wholly-owned subsidiary of B. Riley Financial, Inc. ("BRF"). BRPI and BRF had voting and dispositive power over the securities held by the Sponsor. Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. Bryant R. Riley is also the Chairman of the Board of Directors of the Issuer. As a result, each of BRPI, BRF and Bryant R. Riley may be deemed to have indirectly beneficially owned the securities directly held the Sponsor. Each of BRPI, BRF and Bryant R. Riley disclaimed beneficial ownership over any securities directly held by the Sponsor other than to the extent of its/his respective pecuniary interest therein, directly or indirectly. |
Filing footnotes · ownership attribution and instrument terms
F1: On April 21, 2023, the Issuer announced that its board of directors had determined to redeem all of its outstanding shares of Class A common stock sold in the Issuer's initial public offering (the "Public Shares"), effective as of May 4, 2023, because the Issuer will not be able to consummate an initial business combination within the time period required by its amended and restated certificate of incorporation.
F2: As of the close of business on May 4, 2023, the Public Shares were deemed cancelled and represented only the rights to receive the per-share redemption price. In connection with the redemption of the Public Shares and anticipated dissolution of the Issuer, on May 4, 2023, B. Riley Principal 250 Sponsor Co., LLC (the "Sponsor") forfeited to the Issuer for no consideration 4,312,499 shares of Class B common stock and 600,000 shares of Class A common stock. In connection with the dissolution of the Issuer, on June 2, 2023, the Sponsor surrendered to the Issuer one share of Class B common stock.
F3: B. Riley Principal Investments, LLC ("BRPI") is the managing member of B. Riley Principal 250 Sponsor Co., LLC (the "Sponsor") and is a wholly-owned subsidiary of B. Riley Financial, Inc. ("BRF"). BRPI and BRF had voting and dispositive power over the securities held by the Sponsor. Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. Bryant R. Riley is also the Chairman of the Board of Directors of the Issuer. As a result, each of BRPI, BRF and Bryant R. Riley may be deemed to have indirectly beneficially owned the securities directly held the Sponsor. Each of BRPI, BRF and Bryant R. Riley disclaimed beneficial ownership over any securities directly held by the Sponsor other than to the extent of its/his respective pecuniary interest therein, directly or indirectly.
F4: The shares of Class B common stock were convertible for shares of the Issuer's Class A common stock at the time of the Issuer's initial business combination as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333- 253464) (the "Registration Statement") and had no expiration date.
DNA X, Inc.
Report date August 23, 2021 · Filed August 25, 2021
Jointly reported with BRC Group Holdings, Inc., BRC Partners Opportunity Fund, LP, BRC Partners Management GP, LLC, B. RILEY CAPITAL MANAGEMENT, LLC, RILEY BRYANT R
Section 16 reporting ended · disclosed 2021-08-25. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy BRC Partners Opportunity Fund, L.P. | 2,903,765 |
Last balance in matching sequence
After 2021-08-25 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2021-08-23 · Sale · Disposed 176,482 · Balance 5,563,843 F1: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company, a registered investment advisor ("BRCM"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), and Bryant R. Riley. BRPGP is a subsidiary of BRCM and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRPI. F2: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRF, BRPLP, and BRPI. Each of BRF, BRPLP, BRPGP, BRCM, and BRPI (collectively, the "B. Riley Entities") and Bryant R. Riley disclaims beneficial ownership of the outstanding shares of Common Stock reported herein, except to the extent of its/his respective pecuniary interest therein. Row 2 · 2021-08-24 · Sale · Disposed 1,160,078 · Balance 4,403,765 F1: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company, a registered investment advisor ("BRCM"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), and Bryant R. Riley. BRPGP is a subsidiary of BRCM and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRPI. F2: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRF, BRPLP, and BRPI. Each of BRF, BRPLP, BRPGP, BRCM, and BRPI (collectively, the "B. Riley Entities") and Bryant R. Riley disclaims beneficial ownership of the outstanding shares of Common Stock reported herein, except to the extent of its/his respective pecuniary interest therein. Row 3 · 2021-08-25 · Sale · Disposed 1,500,000 · Balance 2,903,765 F1: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company, a registered investment advisor ("BRCM"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), and Bryant R. Riley. BRPGP is a subsidiary of BRCM and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRPI. F2: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRF, BRPLP, and BRPI. Each of BRF, BRPLP, BRPGP, BRCM, and BRPI (collectively, the "B. Riley Entities") and Bryant R. Riley disclaims beneficial ownership of the outstanding shares of Common Stock reported herein, except to the extent of its/his respective pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy B. Riley Principal Investments, LLC | 4,699,252 |
Reported balance
Holding disclosure · report date 2021-08-23 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 4,699,252 F1: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company, a registered investment advisor ("BRCM"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), and Bryant R. Riley. BRPGP is a subsidiary of BRCM and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRPI. F2: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRF, BRPLP, and BRPI. Each of BRF, BRPLP, BRPGP, BRCM, and BRPI (collectively, the "B. Riley Entities") and Bryant R. Riley disclaims beneficial ownership of the outstanding shares of Common Stock reported herein, except to the extent of its/his respective pecuniary interest therein. F3: Represents 1,139,085 shares previously owned directly by BRF and subsequently transferred to its wholly-owned subsidiary BRPI. |
| Common StockSEC Table I · non-derivative | IndirectBy Bryant R. Riley, as UTMA custodian for Susan Riley | 24,303 |
Reported balance
Holding disclosure · report date 2021-08-23 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 24,303 F1: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company, a registered investment advisor ("BRCM"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), and Bryant R. Riley. BRPGP is a subsidiary of BRCM and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRPI. F2: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRF, BRPLP, and BRPI. Each of BRF, BRPLP, BRPGP, BRCM, and BRPI (collectively, the "B. Riley Entities") and Bryant R. Riley disclaims beneficial ownership of the outstanding shares of Common Stock reported herein, except to the extent of its/his respective pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy Bryant R. Riley, as UTMA custodian for Charlie Riley | 24,303 |
Reported balance
Holding disclosure · report date 2021-08-23 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 24,303 F1: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company, a registered investment advisor ("BRCM"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), and Bryant R. Riley. BRPGP is a subsidiary of BRCM and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRPI. F2: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRF, BRPLP, and BRPI. Each of BRF, BRPLP, BRPGP, BRCM, and BRPI (collectively, the "B. Riley Entities") and Bryant R. Riley disclaims beneficial ownership of the outstanding shares of Common Stock reported herein, except to the extent of its/his respective pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy Bryant R. Riley, as UTMA custodian for Eloise Riley | 24,303 |
Reported balance
Holding disclosure · report date 2021-08-23 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 24,303 F1: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company, a registered investment advisor ("BRCM"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), and Bryant R. Riley. BRPGP is a subsidiary of BRCM and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRPI. F2: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRF, BRPLP, and BRPI. Each of BRF, BRPLP, BRPGP, BRCM, and BRPI (collectively, the "B. Riley Entities") and Bryant R. Riley disclaims beneficial ownership of the outstanding shares of Common Stock reported herein, except to the extent of its/his respective pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy Bryant R. Riley, as UTMA custodian for Abigail Riley | 24,302 |
Reported balance
Holding disclosure · report date 2021-08-23 · row 8
Holding and transaction disclosures are not merged.
1 source rowRow 8 · Balance 24,302 F1: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company, a registered investment advisor ("BRCM"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), and Bryant R. Riley. BRPGP is a subsidiary of BRCM and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRPI. F2: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRF, BRPLP, and BRPI. Each of BRF, BRPLP, BRPGP, BRCM, and BRPI (collectively, the "B. Riley Entities") and Bryant R. Riley disclaims beneficial ownership of the outstanding shares of Common Stock reported herein, except to the extent of its/his respective pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company, a registered investment advisor ("BRCM"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), and Bryant R. Riley. BRPGP is a subsidiary of BRCM and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRPI.
F2: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRF, BRPLP, and BRPI. Each of BRF, BRPLP, BRPGP, BRCM, and BRPI (collectively, the "B. Riley Entities") and Bryant R. Riley disclaims beneficial ownership of the outstanding shares of Common Stock reported herein, except to the extent of its/his respective pecuniary interest therein.
F3: Represents 1,139,085 shares previously owned directly by BRF and subsequently transferred to its wholly-owned subsidiary BRPI.
FaZe Holdings Inc.
Report date March 07, 2024 · Filed March 26, 2024
Jointly reported with BRC Group Holdings, Inc., B. Riley Principal 150 Sponsor Co., LLC, RILEY BRYANT R
Section 16 reporting ended · disclosed 2024-03-26. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy. B. Riley Principal Investments, LLC | 0 |
Reported balance
After 2024-03-07 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2024-03-07 · Other · Disposed 11,028,151 · Balance 0 F3: On March 7, 2024, GameSquare Holdings, Inc., a Delaware corporation ("GameSquare"), consummated the previously announced merger of FaZe Holdings Inc., a Delaware corporation ("FaZe" or the "Issuer"), by and among GameSquare, FaZe and a wholly owned subsidiary of GameSquare. At the effective time of the Merger, each outstanding share of FaZe Common Stock was converted into the right to receive 0.13091 of a fully paid non-assessable share of common stock of GameSquare. As a result, the previously reported shares and warrants of Common Stock of the Issuer owned by the Reporting Persons were converted and the Reporting Persons no longer beneficially own any shares or warrants of the Issuer. F1: B. Riley Principal Investments, LLC ("BRPI") is the managing member of B. Riley Principal 150 Sponsor Co., LLC ("Sponsor") and is a wholly-owned subsidiary of B. Riley Financial, Inc. ("BRF"). BRPI and BRF have voting and dispositive power over the securities held by the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities directly held by BRPI, and each of BRPI and BRF may be deemed to indirectly beneficially own the securities directly held by the Sponsor. F2: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the securities directly held by the Sponsor and BRPI. Each of BRF, the Sponsor, BRPI, and Bryant R. Riley disclaims beneficial ownership of any securities reported herein, except to the extent of its/his respective pecuniary interest therein, directly or indirectly. |
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2024-03-07 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2024-03-07 · Other · Disposed 200,000 · Balance 0 F3: On March 7, 2024, GameSquare Holdings, Inc., a Delaware corporation ("GameSquare"), consummated the previously announced merger of FaZe Holdings Inc., a Delaware corporation ("FaZe" or the "Issuer"), by and among GameSquare, FaZe and a wholly owned subsidiary of GameSquare. At the effective time of the Merger, each outstanding share of FaZe Common Stock was converted into the right to receive 0.13091 of a fully paid non-assessable share of common stock of GameSquare. As a result, the previously reported shares and warrants of Common Stock of the Issuer owned by the Reporting Persons were converted and the Reporting Persons no longer beneficially own any shares or warrants of the Issuer. F4: Represents shares held directly by Bryant R. Riley. |
| Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.50 | IndirectBy. B. Riley Principal Investments, LLC | 0 |
Reported balance
After 2024-03-07 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2024-03-07 · Other · Disposed 156,001 · Balance 0 F3: On March 7, 2024, GameSquare Holdings, Inc., a Delaware corporation ("GameSquare"), consummated the previously announced merger of FaZe Holdings Inc., a Delaware corporation ("FaZe" or the "Issuer"), by and among GameSquare, FaZe and a wholly owned subsidiary of GameSquare. At the effective time of the Merger, each outstanding share of FaZe Common Stock was converted into the right to receive 0.13091 of a fully paid non-assessable share of common stock of GameSquare. As a result, the previously reported shares and warrants of Common Stock of the Issuer owned by the Reporting Persons were converted and the Reporting Persons no longer beneficially own any shares or warrants of the Issuer. F5: The warrants are exercisable 30 days after the completion of the Business Combination. The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation. F1: B. Riley Principal Investments, LLC ("BRPI") is the managing member of B. Riley Principal 150 Sponsor Co., LLC ("Sponsor") and is a wholly-owned subsidiary of B. Riley Financial, Inc. ("BRF"). BRPI and BRF have voting and dispositive power over the securities held by the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities directly held by BRPI, and each of BRPI and BRF may be deemed to indirectly beneficially own the securities directly held by the Sponsor. F2: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the securities directly held by the Sponsor and BRPI. Each of BRF, the Sponsor, BRPI, and Bryant R. Riley disclaims beneficial ownership of any securities reported herein, except to the extent of its/his respective pecuniary interest therein, directly or indirectly. |
Filing footnotes · ownership attribution and instrument terms
F1: B. Riley Principal Investments, LLC ("BRPI") is the managing member of B. Riley Principal 150 Sponsor Co., LLC ("Sponsor") and is a wholly-owned subsidiary of B. Riley Financial, Inc. ("BRF"). BRPI and BRF have voting and dispositive power over the securities held by the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities directly held by BRPI, and each of BRPI and BRF may be deemed to indirectly beneficially own the securities directly held by the Sponsor.
F2: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the securities directly held by the Sponsor and BRPI. Each of BRF, the Sponsor, BRPI, and Bryant R. Riley disclaims beneficial ownership of any securities reported herein, except to the extent of its/his respective pecuniary interest therein, directly or indirectly.
F3: On March 7, 2024, GameSquare Holdings, Inc., a Delaware corporation ("GameSquare"), consummated the previously announced merger of FaZe Holdings Inc., a Delaware corporation ("FaZe" or the "Issuer"), by and among GameSquare, FaZe and a wholly owned subsidiary of GameSquare. At the effective time of the Merger, each outstanding share of FaZe Common Stock was converted into the right to receive 0.13091 of a fully paid non-assessable share of common stock of GameSquare. As a result, the previously reported shares and warrants of Common Stock of the Issuer owned by the Reporting Persons were converted and the Reporting Persons no longer beneficially own any shares or warrants of the Issuer.
F4: Represents shares held directly by Bryant R. Riley.
F5: The warrants are exercisable 30 days after the completion of the Business Combination. The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation.
Lazydays Holdings, Inc.
Report date November 10, 2022 · Filed November 14, 2022
Jointly reported with BRC Group Holdings, Inc., B. Riley Securities, Inc., 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.
Nogin, Inc.
Report date August 29, 2022 · Filed September 01, 2022 · Amendment
Jointly reported with BRC Group Holdings, Inc., ABJ5, LLC, B. Riley Securities, Inc., 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 Securities, Inc., 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.
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 |
|---|---|---|---|---|---|---|
| November 16, 2020 Filed Nov 18, 2020 18:12 UTC Amendment | Eos Energy Enterprises, Inc. EOSE · Entity 4901 | PurchaseClass A Common Stock | 5,000 | $10.70 | $53,500.00 |
DisclosureSEC source: 0001213900-20-038065 · ownership.xml · nonDerivative · entry 2 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co. II, LLC · CIK 0001811637 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley 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: 98,793 F1 · ownership.nature: BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), is a subsidiary of B. Riley Capital Management, LLC, a New York limited liability company and registered investment advisor ("BRCM"), and is the general partner of BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"). B. Riley Financial, Inc., a Delaware corporation ("BRF"), is the parent company of BRCM. As a result, BRF, BRCM and BRPGP may be deemed to indirectly beneficially own the shares held by BRPLP. BRF is the parent company of B. Riley Securities, Inc., a Delaware corporation ("BRS"). As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS. B. Riley Principal Investments, LLC ("BRPI") is the sole member of B. Riley Principal Sponsor Co. II, LLC (the "Sponsor") and is a wholly-owned subsidiary of BRF. BRPI and BRF may be deemed to indirectly beneficially own the shares held by the Sponsor. F2 · ownership.nature: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRF, BRS, BRPLP and the Sponsor. Each of BRF, BRPGP, BRCM, BRPLP, BRS, BRPI, the Sponsor 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 16, 2020 Filed Nov 18, 2020 18:12 UTC Amendment | Eos Energy Enterprises, Inc. EOSE · Entity 4901 | PurchaseClass A Common Stock | 5,000 | $10.72 | $53,600.00 |
DisclosureSEC source: 0001213900-20-038065 · ownership.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co. II, LLC · CIK 0001811637 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley 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: 93,793 F1 · ownership.nature: BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), is a subsidiary of B. Riley Capital Management, LLC, a New York limited liability company and registered investment advisor ("BRCM"), and is the general partner of BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"). B. Riley Financial, Inc., a Delaware corporation ("BRF"), is the parent company of BRCM. As a result, BRF, BRCM and BRPGP may be deemed to indirectly beneficially own the shares held by BRPLP. BRF is the parent company of B. Riley Securities, Inc., a Delaware corporation ("BRS"). As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS. B. Riley Principal Investments, LLC ("BRPI") is the sole member of B. Riley Principal Sponsor Co. II, LLC (the "Sponsor") and is a wholly-owned subsidiary of BRF. BRPI and BRF may be deemed to indirectly beneficially own the shares held by the Sponsor. F2 · ownership.nature: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRF, BRS, BRPLP and the Sponsor. Each of BRF, BRPGP, BRCM, BRPLP, BRS, BRPI, the Sponsor 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 13, 2020 Filed Nov 17, 2020 20:14 UTC | Eos Energy Enterprises, Inc. EOSE · Entity 4901 | PurchaseClass A Common Stock | 2,200 | $10.42 | $22,924.00 |
DisclosureSEC source: 0001213900-20-037835 · ownership.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co. II, LLC · CIK 0001811637 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley 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: 88,793 F1 · ownership.nature: BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), is a subsidiary of B. Riley Capital Management, LLC, a New York limited liability company and registered investment advisor ("BRCM"), and is the general partner of BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"). B. Riley Financial, Inc., a Delaware corporation ("BRF"), is the parent company of BRCM. As a result, BRF, BRCM and BRPGP may be deemed to indirectly beneficially own the shares held by BRPLP. BRF is the parent company of B. Riley Securities, Inc., a Delaware corporation ("BRS"). As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS. B. Riley Principal Investments, LLC ("BRPI") is the sole member of B. Riley Principal Sponsor Co. II, LLC (the "Sponsor") and is a wholly-owned subsidiary of BRF. BRPI and BRF may be deemed to indirectly beneficially own the shares held by the Sponsor. F2 · ownership.nature: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRF, BRS, BRPLP and the Sponsor. Each of BRF, BRPGP, BRCM, BRPLP, BRS, BRPI, the Sponsor 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 12, 2020 Filed Nov 12, 2020 17:24 UTC | Eos Energy Enterprises, Inc. BMRG · Entity 4901 | PurchaseClass A Common Stock | 86,593 | $10.33 | $894,557.65 |
DisclosureSEC source: 0001213900-20-036630 · ownership.xml · nonDerivative · entry 4 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co. II, LLC · CIK 0001811637 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley 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: 86,593 F1 · ownership.nature: BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), is a subsidiary of B. Riley Capital Management, LLC, a New York limited liability company and registered investment advisor ("BRCM"), and is the general partner of BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"). B. Riley Financial, Inc., a Delaware corporation ("BRF"), is the parent company of BRCM. As a result, BRF, BRCM and BRPGP may be deemed to indirectly beneficially own the shares held by BRPLP. BRF is the parent company of B. Riley Securities, Inc., a Delaware corporation ("BRS"). As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS. B. Riley Principal Investments, LLC ("BRPI") is the sole member of B. Riley Principal Sponsor Co. II, LLC (the "Sponsor") and is a wholly-owned subsidiary of BRF. BRPI and BRF may be deemed to indirectly beneficially own the shares held by the Sponsor. F2 · ownership.nature: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRF, BRS, BRPLP and the Sponsor. Each of BRF, BRPGP, BRCM, BRPLP, BRS, BRPI, the Sponsor 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, 2020 Filed Nov 12, 2020 17:24 UTC | Eos Energy Enterprises, Inc. BMRG · Entity 4901 | PurchaseClass A Common Stock | 419,971 | $10.18 | $4,275,262.78 |
DisclosureSEC source: 0001213900-20-036630 · ownership.xml · nonDerivative · entry 3 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co. II, LLC · CIK 0001811637 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley 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: 0 F3 · price: The price reported in Column 4 is a weighted average price. These shares were bought in multiple transactions at prices ranging from $9.99 to $10.43, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the above range. F1 · ownership.nature: BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), is a subsidiary of B. Riley Capital Management, LLC, a New York limited liability company and registered investment advisor ("BRCM"), and is the general partner of BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"). B. Riley Financial, Inc., a Delaware corporation ("BRF"), is the parent company of BRCM. As a result, BRF, BRCM and BRPGP may be deemed to indirectly beneficially own the shares held by BRPLP. BRF is the parent company of B. Riley Securities, Inc., a Delaware corporation ("BRS"). As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS. B. Riley Principal Investments, LLC ("BRPI") is the sole member of B. Riley Principal Sponsor Co. II, LLC (the "Sponsor") and is a wholly-owned subsidiary of BRF. BRPI and BRF may be deemed to indirectly beneficially own the shares held by the Sponsor. F2 · ownership.nature: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRF, BRS, BRPLP and the Sponsor. Each of BRF, BRPGP, BRCM, BRPLP, BRS, BRPI, the Sponsor 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, 2020 Filed Nov 12, 2020 17:24 UTC | Eos Energy Enterprises, Inc. BMRG · Entity 4901 | SaleClass A Common Stock | 2,050,000 | $10.12 | $20,746,000.00 |
DisclosureSEC source: 0001213900-20-036630 · ownership.xml · nonDerivative · entry 2 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co. II, LLC · CIK 0001811637 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley 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: 0 F1 · ownership.nature: BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), is a subsidiary of B. Riley Capital Management, LLC, a New York limited liability company and registered investment advisor ("BRCM"), and is the general partner of BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"). B. Riley Financial, Inc., a Delaware corporation ("BRF"), is the parent company of BRCM. As a result, BRF, BRCM and BRPGP may be deemed to indirectly beneficially own the shares held by BRPLP. BRF is the parent company of B. Riley Securities, Inc., a Delaware corporation ("BRS"). As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS. B. Riley Principal Investments, LLC ("BRPI") is the sole member of B. Riley Principal Sponsor Co. II, LLC (the "Sponsor") and is a wholly-owned subsidiary of BRF. BRPI and BRF may be deemed to indirectly beneficially own the shares held by the Sponsor. F2 · ownership.nature: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRF, BRS, BRPLP and the Sponsor. Each of BRF, BRPGP, BRCM, BRPLP, BRS, BRPI, the Sponsor 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, 2020 Filed Nov 12, 2020 17:24 UTC | Eos Energy Enterprises, Inc. BMRG · Entity 4901 | PurchaseClass A Common Stock | 668,045 | $10.12 | $6,760,414.99 |
DisclosureSEC source: 0001213900-20-036630 · ownership.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co. II, LLC · CIK 0001811637 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley 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: 1,630,029 F1 · ownership.nature: BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), is a subsidiary of B. Riley Capital Management, LLC, a New York limited liability company and registered investment advisor ("BRCM"), and is the general partner of BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"). B. Riley Financial, Inc., a Delaware corporation ("BRF"), is the parent company of BRCM. As a result, BRF, BRCM and BRPGP may be deemed to indirectly beneficially own the shares held by BRPLP. BRF is the parent company of B. Riley Securities, Inc., a Delaware corporation ("BRS"). As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS. B. Riley Principal Investments, LLC ("BRPI") is the sole member of B. Riley Principal Sponsor Co. II, LLC (the "Sponsor") and is a wholly-owned subsidiary of BRF. BRPI and BRF may be deemed to indirectly beneficially own the shares held by the Sponsor. F2 · ownership.nature: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRF, BRS, BRPLP and the Sponsor. Each of BRF, BRPGP, BRCM, BRPLP, BRS, BRPI, the Sponsor 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, 2020 Filed Nov 12, 2020 06:30 UTC | Eos Energy Enterprises, Inc. BMRG · Entity 4901 | PurchaseClass A Common Stock | 200,000 | $10.13 | $2,025,200.00 |
DisclosureSEC source: 0001213900-20-036335 · ownership.xml · nonDerivative · entry 3 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co. II, LLC · CIK 0001811637 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley 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 BRC Partners Opportunity Fund, LP Disclosed balance after: 250,000 F4 · balance_after: The reported shares of Class A Common Stock include shares within 50,000 of the Issuer's public units, as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-237812) (the "Registration Statement"). F1 · ownership.nature: BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), is a subsidiary of B. Riley Capital Management, LLC, a New York limited liability company and registered investment advisor ("BRCM"), and is the general partner of BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"). B. Riley Financial, Inc., a Delaware corporation ("BRF"), is the parent company of BRCM. As a result, BRF, BRCM and BRPGP may be deemed to indirectly beneficially own the shares held by BRPLP. BRF is the parent company of B. Riley Securities, Inc., a Delaware corporation ("BRS"). As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS. B. Riley Principal Investments, LLC ("BRPI") is the sole member of B. Riley Principal Sponsor Co. II, LLC (the "Sponsor") and is a wholly-owned subsidiary of BRF. BRPI and BRF may be deemed to indirectly beneficially own the shares held by the Sponsor. F2 · ownership.nature: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRF, BRS, BRPLP and the Sponsor. Each of BRF, BRPGP, BRCM, BRPLP, BRS, BRPI, the Sponsor 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, 2020 Filed Nov 12, 2020 06:30 UTC | Eos Energy Enterprises, Inc. BMRG · Entity 4901 | PurchaseClass A Common Stock | 881,687 | $10.13 | $8,930,872.13 |
DisclosureSEC source: 0001213900-20-036335 · ownership.xml · nonDerivative · entry 2 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co. II, LLC · CIK 0001811637 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley 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: 961,984 F1 · ownership.nature: BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), is a subsidiary of B. Riley Capital Management, LLC, a New York limited liability company and registered investment advisor ("BRCM"), and is the general partner of BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"). B. Riley Financial, Inc., a Delaware corporation ("BRF"), is the parent company of BRCM. As a result, BRF, BRCM and BRPGP may be deemed to indirectly beneficially own the shares held by BRPLP. BRF is the parent company of B. Riley Securities, Inc., a Delaware corporation ("BRS"). As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS. B. Riley Principal Investments, LLC ("BRPI") is the sole member of B. Riley Principal Sponsor Co. II, LLC (the "Sponsor") and is a wholly-owned subsidiary of BRF. BRPI and BRF may be deemed to indirectly beneficially own the shares held by the Sponsor. F2 · ownership.nature: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRF, BRS, BRPLP and the Sponsor. Each of BRF, BRPGP, BRCM, BRPLP, BRS, BRPI, the Sponsor 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, 2020 Filed Nov 12, 2020 06:30 UTC | Eos Energy Enterprises, Inc. BMRG · Entity 4901 | OtherClass A Common Stock | 1,527,633 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-20-036335 · ownership.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co. II, LLC · CIK 0001811637 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley 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: 80,297 F3 · kind: On November 9, 2020, BRS redeemed 1,527,633 shares of Common Stock with B. Riley Principal Merger Corp. II, a Delaware corporation (the "Issuer"), for cash at a price of $10.10 per share, as stated on the received redemption notice. As previously announced, the Issuer has scheduled a special meeting on November 12, 2020 to vote on the proposals (the "vote") relating to the Issuer's proposed business combination. Holders of shares of the Issuer's Common Stock were entitled to request that the Issuer redeem all or a portion of their public shares for cash in connection with the vote until November 10, 2020. F3 · price: On November 9, 2020, BRS redeemed 1,527,633 shares of Common Stock with B. Riley Principal Merger Corp. II, a Delaware corporation (the "Issuer"), for cash at a price of $10.10 per share, as stated on the received redemption notice. As previously announced, the Issuer has scheduled a special meeting on November 12, 2020 to vote on the proposals (the "vote") relating to the Issuer's proposed business combination. Holders of shares of the Issuer's Common Stock were entitled to request that the Issuer redeem all or a portion of their public shares for cash in connection with the vote until November 10, 2020. F1 · ownership.nature: BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), is a subsidiary of B. Riley Capital Management, LLC, a New York limited liability company and registered investment advisor ("BRCM"), and is the general partner of BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"). B. Riley Financial, Inc., a Delaware corporation ("BRF"), is the parent company of BRCM. As a result, BRF, BRCM and BRPGP may be deemed to indirectly beneficially own the shares held by BRPLP. BRF is the parent company of B. Riley Securities, Inc., a Delaware corporation ("BRS"). As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS. B. Riley Principal Investments, LLC ("BRPI") is the sole member of B. Riley Principal Sponsor Co. II, LLC (the "Sponsor") and is a wholly-owned subsidiary of BRF. BRPI and BRF may be deemed to indirectly beneficially own the shares held by the Sponsor. F2 · ownership.nature: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRF, BRS, BRPLP and the Sponsor. Each of BRF, BRPGP, BRCM, BRPLP, BRS, BRPI, the Sponsor 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 06, 2020 Filed Nov 6, 2020 19:05 UTC | Eos Energy Enterprises, Inc. BMRG · Entity 4901 | SaleClass A Common Stock | 740,000 | $10.25 | $7,585,000.00 |
DisclosureSEC source: 0001213900-20-035663 · ownership.xml · nonDerivative · entry 10 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co. II, LLC · CIK 0001811637 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley 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: 1,607,930 F1 · ownership.nature: BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), is a subsidiary of B. Riley Capital Management, LLC, a New York limited liability company and registered investment advisor ("BRCM"), and is the general partner of BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"). B. Riley Financial, Inc., a Delaware corporation ("BRF"), is the parent company of BRCM. As a result, BRF, BRCM and BRPGP may be deemed to indirectly beneficially own the shares held by BRPLP. BRF is the parent company of B. Riley Securities, Inc., a Delaware corporation ("BRS"). As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS. B. Riley Principal Investments, LLC ("BRPI") is the sole member of B. Riley Principal Sponsor Co. II, LLC (the "Sponsor") and is a wholly-owned subsidiary of BRF. BRPI and BRF may be deemed to indirectly beneficially own the shares held by the Sponsor. F2 · ownership.nature: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRF, BRS, BRPLP and the Sponsor. Each of BRF, BRPGP, BRCM, BRPLP, BRS, BRPI, the Sponsor 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 06, 2020 Filed Nov 6, 2020 19:05 UTC | Eos Energy Enterprises, Inc. BMRG · Entity 4901 | PurchaseClass A Common Stock | 754,002 | $10.10 | $7,615,420.20 |
DisclosureSEC source: 0001213900-20-035663 · ownership.xml · nonDerivative · entry 9 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co. II, LLC · CIK 0001811637 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley 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: 2,347,930 F1 · ownership.nature: BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), is a subsidiary of B. Riley Capital Management, LLC, a New York limited liability company and registered investment advisor ("BRCM"), and is the general partner of BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"). B. Riley Financial, Inc., a Delaware corporation ("BRF"), is the parent company of BRCM. As a result, BRF, BRCM and BRPGP may be deemed to indirectly beneficially own the shares held by BRPLP. BRF is the parent company of B. Riley Securities, Inc., a Delaware corporation ("BRS"). As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS. B. Riley Principal Investments, LLC ("BRPI") is the sole member of B. Riley Principal Sponsor Co. II, LLC (the "Sponsor") and is a wholly-owned subsidiary of BRF. BRPI and BRF may be deemed to indirectly beneficially own the shares held by the Sponsor. F2 · ownership.nature: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRF, BRS, BRPLP and the Sponsor. Each of BRF, BRPGP, BRCM, BRPLP, BRS, BRPI, the Sponsor 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 06, 2020 Filed Nov 6, 2020 19:05 UTC | Eos Energy Enterprises, Inc. BMRG · Entity 4901 | PurchaseClass A Common Stock | 48,210 | $10.25 | $494,152.50 |
DisclosureSEC source: 0001213900-20-035663 · ownership.xml · nonDerivative · entry 8 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co. II, LLC · CIK 0001811637 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley 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: 1,593,928 F1 · ownership.nature: BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), is a subsidiary of B. Riley Capital Management, LLC, a New York limited liability company and registered investment advisor ("BRCM"), and is the general partner of BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"). B. Riley Financial, Inc., a Delaware corporation ("BRF"), is the parent company of BRCM. As a result, BRF, BRCM and BRPGP may be deemed to indirectly beneficially own the shares held by BRPLP. BRF is the parent company of B. Riley Securities, Inc., a Delaware corporation ("BRS"). As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS. B. Riley Principal Investments, LLC ("BRPI") is the sole member of B. Riley Principal Sponsor Co. II, LLC (the "Sponsor") and is a wholly-owned subsidiary of BRF. BRPI and BRF may be deemed to indirectly beneficially own the shares held by the Sponsor. F2 · ownership.nature: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRF, BRS, BRPLP and the Sponsor. Each of BRF, BRPGP, BRCM, BRPLP, BRS, BRPI, the Sponsor 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 06, 2020 Filed Nov 6, 2020 19:05 UTC | Eos Energy Enterprises, Inc. BMRG · Entity 4901 | PurchaseClass A Common Stock | 10,000 | $10.10 | $101,000.00 |
DisclosureSEC source: 0001213900-20-035663 · ownership.xml · nonDerivative · entry 7 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co. II, LLC · CIK 0001811637 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley 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: 1,545,718 F1 · ownership.nature: BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), is a subsidiary of B. Riley Capital Management, LLC, a New York limited liability company and registered investment advisor ("BRCM"), and is the general partner of BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"). B. Riley Financial, Inc., a Delaware corporation ("BRF"), is the parent company of BRCM. As a result, BRF, BRCM and BRPGP may be deemed to indirectly beneficially own the shares held by BRPLP. BRF is the parent company of B. Riley Securities, Inc., a Delaware corporation ("BRS"). As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS. B. Riley Principal Investments, LLC ("BRPI") is the sole member of B. Riley Principal Sponsor Co. II, LLC (the "Sponsor") and is a wholly-owned subsidiary of BRF. BRPI and BRF may be deemed to indirectly beneficially own the shares held by the Sponsor. F2 · ownership.nature: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRF, BRS, BRPLP and the Sponsor. Each of BRF, BRPGP, BRCM, BRPLP, BRS, BRPI, the Sponsor 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 06, 2020 Filed Nov 6, 2020 19:05 UTC | Eos Energy Enterprises, Inc. BMRG · Entity 4901 | PurchaseClass A Common Stock | 4,900 | $10.10 | $49,482.16 |
DisclosureSEC source: 0001213900-20-035663 · ownership.xml · nonDerivative · entry 6 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co. II, LLC · CIK 0001811637 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley 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: 1,535,718 F1 · ownership.nature: BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), is a subsidiary of B. Riley Capital Management, LLC, a New York limited liability company and registered investment advisor ("BRCM"), and is the general partner of BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"). B. Riley Financial, Inc., a Delaware corporation ("BRF"), is the parent company of BRCM. As a result, BRF, BRCM and BRPGP may be deemed to indirectly beneficially own the shares held by BRPLP. BRF is the parent company of B. Riley Securities, Inc., a Delaware corporation ("BRS"). As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS. B. Riley Principal Investments, LLC ("BRPI") is the sole member of B. Riley Principal Sponsor Co. II, LLC (the "Sponsor") and is a wholly-owned subsidiary of BRF. BRPI and BRF may be deemed to indirectly beneficially own the shares held by the Sponsor. F2 · ownership.nature: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRF, BRS, BRPLP and the Sponsor. Each of BRF, BRPGP, BRCM, BRPLP, BRS, BRPI, the Sponsor 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 06, 2020 Filed Nov 6, 2020 19:05 UTC | Eos Energy Enterprises, Inc. BMRG · Entity 4901 | PurchaseClass A Common Stock | 2,785 | $10.25 | $28,546.25 |
DisclosureSEC source: 0001213900-20-035663 · ownership.xml · nonDerivative · entry 5 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co. II, LLC · CIK 0001811637 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley 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: 1,530,818 F1 · ownership.nature: BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), is a subsidiary of B. Riley Capital Management, LLC, a New York limited liability company and registered investment advisor ("BRCM"), and is the general partner of BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"). B. Riley Financial, Inc., a Delaware corporation ("BRF"), is the parent company of BRCM. As a result, BRF, BRCM and BRPGP may be deemed to indirectly beneficially own the shares held by BRPLP. BRF is the parent company of B. Riley Securities, Inc., a Delaware corporation ("BRS"). As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS. B. Riley Principal Investments, LLC ("BRPI") is the sole member of B. Riley Principal Sponsor Co. II, LLC (the "Sponsor") and is a wholly-owned subsidiary of BRF. BRPI and BRF may be deemed to indirectly beneficially own the shares held by the Sponsor. F2 · ownership.nature: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRF, BRS, BRPLP and the Sponsor. Each of BRF, BRPGP, BRCM, BRPLP, BRS, BRPI, the Sponsor 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 06, 2020 Filed Nov 6, 2020 19:05 UTC | Eos Energy Enterprises, Inc. BMRG · Entity 4901 | PurchaseClass A Common Stock | 300 | $10.10 | $3,029.58 |
DisclosureSEC source: 0001213900-20-035663 · ownership.xml · nonDerivative · entry 4 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co. II, LLC · CIK 0001811637 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley 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: 1,528,033 F1 · ownership.nature: BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), is a subsidiary of B. Riley Capital Management, LLC, a New York limited liability company and registered investment advisor ("BRCM"), and is the general partner of BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"). B. Riley Financial, Inc., a Delaware corporation ("BRF"), is the parent company of BRCM. As a result, BRF, BRCM and BRPGP may be deemed to indirectly beneficially own the shares held by BRPLP. BRF is the parent company of B. Riley Securities, Inc., a Delaware corporation ("BRS"). As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS. B. Riley Principal Investments, LLC ("BRPI") is the sole member of B. Riley Principal Sponsor Co. II, LLC (the "Sponsor") and is a wholly-owned subsidiary of BRF. BRPI and BRF may be deemed to indirectly beneficially own the shares held by the Sponsor. F2 · ownership.nature: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRF, BRS, BRPLP and the Sponsor. Each of BRF, BRPGP, BRCM, BRPLP, BRS, BRPI, the Sponsor 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 06, 2020 Filed Nov 6, 2020 19:05 UTC | Eos Energy Enterprises, Inc. BMRG · Entity 4901 | PurchaseClass A Common Stock | 100 | $10.11 | $1,011.00 |
DisclosureSEC source: 0001213900-20-035663 · ownership.xml · nonDerivative · entry 3 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co. II, LLC · CIK 0001811637 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley 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: 1,527,733 F1 · ownership.nature: BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), is a subsidiary of B. Riley Capital Management, LLC, a New York limited liability company and registered investment advisor ("BRCM"), and is the general partner of BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"). B. Riley Financial, Inc., a Delaware corporation ("BRF"), is the parent company of BRCM. As a result, BRF, BRCM and BRPGP may be deemed to indirectly beneficially own the shares held by BRPLP. BRF is the parent company of B. Riley Securities, Inc., a Delaware corporation ("BRS"). As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS. B. Riley Principal Investments, LLC ("BRPI") is the sole member of B. Riley Principal Sponsor Co. II, LLC (the "Sponsor") and is a wholly-owned subsidiary of BRF. BRPI and BRF may be deemed to indirectly beneficially own the shares held by the Sponsor. F2 · ownership.nature: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRF, BRS, BRPLP and the Sponsor. Each of BRF, BRPGP, BRCM, BRPLP, BRS, BRPI, the Sponsor 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 05, 2020 Filed Nov 6, 2020 19:05 UTC | Eos Energy Enterprises, Inc. BMRG · Entity 4901 | PurchaseClass A Common Stock | 1,037,633 | $10.10 | $10,480,300.83 |
DisclosureSEC source: 0001213900-20-035663 · ownership.xml · nonDerivative · entry 2 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co. II, LLC · CIK 0001811637 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley 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: 1,527,633 F1 · ownership.nature: BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), is a subsidiary of B. Riley Capital Management, LLC, a New York limited liability company and registered investment advisor ("BRCM"), and is the general partner of BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"). B. Riley Financial, Inc., a Delaware corporation ("BRF"), is the parent company of BRCM. As a result, BRF, BRCM and BRPGP may be deemed to indirectly beneficially own the shares held by BRPLP. BRF is the parent company of B. Riley Securities, Inc., a Delaware corporation ("BRS"). As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS. B. Riley Principal Investments, LLC ("BRPI") is the sole member of B. Riley Principal Sponsor Co. II, LLC (the "Sponsor") and is a wholly-owned subsidiary of BRF. BRPI and BRF may be deemed to indirectly beneficially own the shares held by the Sponsor. F2 · ownership.nature: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRF, BRS, BRPLP and the Sponsor. Each of BRF, BRPGP, BRCM, BRPLP, BRS, BRPI, the Sponsor 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 04, 2020 Filed Nov 6, 2020 19:05 UTC | Eos Energy Enterprises, Inc. BMRG · Entity 4901 | PurchaseClass A Common Stock | 490,000 | $10.08 | $4,940,572.00 |
DisclosureSEC source: 0001213900-20-035663 · ownership.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co. II, LLC · CIK 0001811637 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley 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: 490,000 F1 · ownership.nature: BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), is a subsidiary of B. Riley Capital Management, LLC, a New York limited liability company and registered investment advisor ("BRCM"), and is the general partner of BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"). B. Riley Financial, Inc., a Delaware corporation ("BRF"), is the parent company of BRCM. As a result, BRF, BRCM and BRPGP may be deemed to indirectly beneficially own the shares held by BRPLP. BRF is the parent company of B. Riley Securities, Inc., a Delaware corporation ("BRS"). As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS. B. Riley Principal Investments, LLC ("BRPI") is the sole member of B. Riley Principal Sponsor Co. II, LLC (the "Sponsor") and is a wholly-owned subsidiary of BRF. BRPI and BRF may be deemed to indirectly beneficially own the shares held by the Sponsor. F2 · ownership.nature: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRF, BRS, BRPLP and the Sponsor. Each of BRF, BRPGP, BRCM, BRPLP, BRS, BRPI, the Sponsor 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 09, 2020 Filed Jun 29, 2020 23:27 UTC | DNA X, Inc. SONM · Entity 8261 | Exercise / conversionConvertible Promissory Note (right to buy) · Derivative | Not disclosed | $0.00 Strike: $0.75 | $2,670,125.51 |
DisclosureSEC source: 0001213900-20-016203 · ownership.xml · derivative · entry 12 B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · Director · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · Director · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · Director · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · Director · See Remarks RILEY BRYANT R · CIK 0001207269 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By BRPLP Disclosed balance after: 0 Underlying: Common Stock · 3,560,167 shares Expires 2022-09-21 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · kind: Kenneth M. Young, a member of the Board of Directors of the Issuer, is the President of BRF and the Chief Executive Officer of BRPI and was elected to the Board of Directors of the Issuer as a representative of BRF, BRPLP, BRPGP, BRCM, BRPI and Bryant R. Riley. As a result, Kenneth M. Young is a director by deputization for Section 16 purposes. F9 · kind: On June 1, the Issuer and BRPI entered into an amendment to the Convertible Promissory Note pursuant to which the Issuer agreed that, contingent upon the completion of the Public Offering, the Convertible Promissory Note would be extinguished for (i) the payment of $4,000,000 in cash and (2) a number of shares of Issuer common stock determined by dividing the remaining principal amount and accrued interest by the price to be determined in the Public Offering. The Public Offering closed on June 9, 2020 at a price per share of Issuer common stock of $0.75. As a result of the amendment of the Convertible Promissory Note and the completion of the Public Offering, each of BRPI and BRPLP were deemed to have disposed to the Issuer their respective portions of the derivate security represented by the Convertible Promissory Note in exchange for the issuance by the Issuer of a derivative security represented by the Convertible Promissory Note as amended to reflect the $0.75 conversion price, which security was immediately thereafter converted for the underlying shares of Issuer common stock. F1 · ownership.nature: 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"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI") and Bryant R. Riley. BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own securities of the Issuer held by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own securities of the Issuer held by BRPI. Bryant R. Riley is the Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF and, as a result, may be deemed to indirectly beneficially own securities of the Issuer held by BRF, BRPLP and BRPI. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein except to the extent of such person's pecuniary interest therein. F9 · ownership.nature: On June 1, the Issuer and BRPI entered into an amendment to the Convertible Promissory Note pursuant to which the Issuer agreed that, contingent upon the completion of the Public Offering, the Convertible Promissory Note would be extinguished for (i) the payment of $4,000,000 in cash and (2) a number of shares of Issuer common stock determined by dividing the remaining principal amount and accrued interest by the price to be determined in the Public Offering. The Public Offering closed on June 9, 2020 at a price per share of Issuer common stock of $0.75. As a result of the amendment of the Convertible Promissory Note and the completion of the Public Offering, each of BRPI and BRPLP were deemed to have disposed to the Issuer their respective portions of the derivate security represented by the Convertible Promissory Note in exchange for the issuance by the Issuer of a derivative security represented by the Convertible Promissory Note as amended to reflect the $0.75 conversion price, which security was immediately thereafter converted for the underlying shares of Issuer common stock. Read SEC document |
| June 09, 2020 Filed Jun 29, 2020 23:27 UTC | DNA X, Inc. SONM · Entity 8261 | Exercise / conversionConvertible Promissory Note (right to buy) · Derivative | Not disclosed | $0.00 Strike: $0.75 | $3,500,000.00 |
DisclosureSEC source: 0001213900-20-016203 · ownership.xml · derivative · entry 11 B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · Director · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · Director · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · Director · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · Director · See Remarks RILEY BRYANT R · CIK 0001207269 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By BRPI Disclosed balance after: 0 Underlying: Common Stock · 4,666,667 shares Expires 2022-09-21 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · kind: Kenneth M. Young, a member of the Board of Directors of the Issuer, is the President of BRF and the Chief Executive Officer of BRPI and was elected to the Board of Directors of the Issuer as a representative of BRF, BRPLP, BRPGP, BRCM, BRPI and Bryant R. Riley. As a result, Kenneth M. Young is a director by deputization for Section 16 purposes. F9 · kind: On June 1, the Issuer and BRPI entered into an amendment to the Convertible Promissory Note pursuant to which the Issuer agreed that, contingent upon the completion of the Public Offering, the Convertible Promissory Note would be extinguished for (i) the payment of $4,000,000 in cash and (2) a number of shares of Issuer common stock determined by dividing the remaining principal amount and accrued interest by the price to be determined in the Public Offering. The Public Offering closed on June 9, 2020 at a price per share of Issuer common stock of $0.75. As a result of the amendment of the Convertible Promissory Note and the completion of the Public Offering, each of BRPI and BRPLP were deemed to have disposed to the Issuer their respective portions of the derivate security represented by the Convertible Promissory Note in exchange for the issuance by the Issuer of a derivative security represented by the Convertible Promissory Note as amended to reflect the $0.75 conversion price, which security was immediately thereafter converted for the underlying shares of Issuer common stock. F1 · ownership.nature: 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"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI") and Bryant R. Riley. BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own securities of the Issuer held by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own securities of the Issuer held by BRPI. Bryant R. Riley is the Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF and, as a result, may be deemed to indirectly beneficially own securities of the Issuer held by BRF, BRPLP and BRPI. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein except to the extent of such person's pecuniary interest therein. F9 · ownership.nature: On June 1, the Issuer and BRPI entered into an amendment to the Convertible Promissory Note pursuant to which the Issuer agreed that, contingent upon the completion of the Public Offering, the Convertible Promissory Note would be extinguished for (i) the payment of $4,000,000 in cash and (2) a number of shares of Issuer common stock determined by dividing the remaining principal amount and accrued interest by the price to be determined in the Public Offering. The Public Offering closed on June 9, 2020 at a price per share of Issuer common stock of $0.75. As a result of the amendment of the Convertible Promissory Note and the completion of the Public Offering, each of BRPI and BRPLP were deemed to have disposed to the Issuer their respective portions of the derivate security represented by the Convertible Promissory Note in exchange for the issuance by the Issuer of a derivative security represented by the Convertible Promissory Note as amended to reflect the $0.75 conversion price, which security was immediately thereafter converted for the underlying shares of Issuer common stock. Read SEC document |
| June 09, 2020 Filed Jun 29, 2020 23:27 UTC | DNA X, Inc. SONM · Entity 8261 | Exercise / conversionCommon Stock | 4,666,667 | $0.75 | $3,500,000.25 |
DisclosureSEC source: 0001213900-20-016203 · ownership.xml · nonDerivative · entry 8 B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · Director · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · Director · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · Director · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · Director · See Remarks RILEY BRYANT R · CIK 0001207269 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By BRPLP Disclosed balance after: 7,120,325 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F7 · shares: On June 9, 2020, BRPLP was issued these shares of common stock by the Issuer upon the conversion of the Convertible Promissory Note at a conversion price of $0.75 per share. See Note 9. F1 · ownership.nature: 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"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI") and Bryant R. Riley. BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own securities of the Issuer held by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own securities of the Issuer held by BRPI. Bryant R. Riley is the Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF and, as a result, may be deemed to indirectly beneficially own securities of the Issuer held by BRF, BRPLP and BRPI. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein except to the extent of such person's pecuniary interest therein. Read SEC document |
| June 09, 2020 Filed Jun 29, 2020 23:27 UTC | DNA X, Inc. SONM · Entity 8261 | Exercise / conversionCommon Stock | 3,560,167 | $0.75 | $2,670,125.25 |
DisclosureSEC source: 0001213900-20-016203 · ownership.xml · nonDerivative · entry 7 B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · Director · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · Director · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · Director · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · Director · See Remarks RILEY BRYANT R · CIK 0001207269 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By BRPI Disclosed balance after: 3,560,167 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · shares: On June 9, 2020, BRPI was issued these shares of common stock by the Issuer upon the conversion of the Convertible Promissory Note (as defined below) at a conversion price of $0.75 per share. See Note 9. F1 · ownership.nature: 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"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI") and Bryant R. Riley. BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own securities of the Issuer held by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own securities of the Issuer held by BRPI. Bryant R. Riley is the Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF and, as a result, may be deemed to indirectly beneficially own securities of the Issuer held by BRF, BRPLP and BRPI. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein except to the extent of such person's pecuniary interest therein. Read SEC document |
| June 09, 2020 Filed Jun 29, 2020 23:27 UTC | DNA X, Inc. SONM · Entity 8261 | PurchaseCommon Stock | 146,666 | $0.75 | $109,999.50 |
DisclosureSEC source: 0001213900-20-016203 · ownership.xml · nonDerivative · entry 6 B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · Director · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · Director · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · Director · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · Director · See Remarks RILEY BRYANT R · CIK 0001207269 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Bryant R. Riley, as UTMA custodian for Abigail Riley Disclosed balance after: 146,666 F1 · ownership.nature: 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"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI") and Bryant R. Riley. BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own securities of the Issuer held by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own securities of the Issuer held by BRPI. Bryant R. Riley is the Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF and, as a result, may be deemed to indirectly beneficially own securities of the Issuer held by BRF, BRPLP and BRPI. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein except to the extent of such person's pecuniary interest therein. F5 · ownership.nature: Represents shares of Issuer common stock owned indirectly by Bryant R. Riley as custodian for his children. Read SEC document |
| June 09, 2020 Filed Jun 29, 2020 23:27 UTC | DNA X, Inc. SONM · Entity 8261 | PurchaseCommon Stock | 146,667 | $0.75 | $110,000.25 |
DisclosureSEC source: 0001213900-20-016203 · ownership.xml · nonDerivative · entry 5 B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · Director · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · Director · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · Director · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · Director · See Remarks RILEY BRYANT R · CIK 0001207269 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Bryant R. Riley, as UTMA custodian for Eloise Riley Disclosed balance after: 146,667 F1 · ownership.nature: 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"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI") and Bryant R. Riley. BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own securities of the Issuer held by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own securities of the Issuer held by BRPI. Bryant R. Riley is the Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF and, as a result, may be deemed to indirectly beneficially own securities of the Issuer held by BRF, BRPLP and BRPI. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein except to the extent of such person's pecuniary interest therein. F5 · ownership.nature: Represents shares of Issuer common stock owned indirectly by Bryant R. Riley as custodian for his children. Read SEC document |
| June 09, 2020 Filed Jun 29, 2020 23:27 UTC | DNA X, Inc. SONM · Entity 8261 | PurchaseCommon Stock | 146,667 | $0.75 | $110,000.25 |
DisclosureSEC source: 0001213900-20-016203 · ownership.xml · nonDerivative · entry 4 B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · Director · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · Director · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · Director · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · Director · See Remarks RILEY BRYANT R · CIK 0001207269 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Bryant R. Riley, as UTMA custodian for Charlie Riley Disclosed balance after: 146,667 F1 · ownership.nature: 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"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI") and Bryant R. Riley. BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own securities of the Issuer held by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own securities of the Issuer held by BRPI. Bryant R. Riley is the Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF and, as a result, may be deemed to indirectly beneficially own securities of the Issuer held by BRF, BRPLP and BRPI. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein except to the extent of such person's pecuniary interest therein. F5 · ownership.nature: Represents shares of Issuer common stock owned indirectly by Bryant R. Riley as custodian for his children. Read SEC document |
| June 09, 2020 Filed Jun 29, 2020 23:27 UTC | DNA X, Inc. SONM · Entity 8261 | PurchaseCommon Stock | 146,667 | $0.75 | $110,000.25 |
DisclosureSEC source: 0001213900-20-016203 · ownership.xml · nonDerivative · entry 3 B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · Director · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · Director · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · Director · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · Director · See Remarks RILEY BRYANT R · CIK 0001207269 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Bryant R. Riley, as UTMA custodian for Susan Riley Disclosed balance after: 146,667 F1 · ownership.nature: 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"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI") and Bryant R. Riley. BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own securities of the Issuer held by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own securities of the Issuer held by BRPI. Bryant R. Riley is the Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF and, as a result, may be deemed to indirectly beneficially own securities of the Issuer held by BRF, BRPLP and BRPI. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein except to the extent of such person's pecuniary interest therein. F5 · ownership.nature: Represents shares of Issuer common stock owned indirectly by Bryant R. Riley as custodian for his children. Read SEC document |
| June 09, 2020 Filed Jun 29, 2020 23:27 UTC | DNA X, Inc. SONM · Entity 8261 | PurchaseCommon Stock | 1,380,000 | $0.75 | $1,035,000.00 |
DisclosureSEC source: 0001213900-20-016203 · ownership.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · Director · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · Director · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · Director · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · Director · See Remarks RILEY BRYANT R · CIK 0001207269 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By BRPLP Disclosed balance after: 2,453,658 F3 · shares: On June 9, 2020, BRPLP acquired these shares of Issuer common stock in the Issuer's underwritten public offering of common stock (the "Public Offering"). F1 · ownership.nature: 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"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI") and Bryant R. Riley. BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own securities of the Issuer held by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own securities of the Issuer held by BRPI. Bryant R. Riley is the Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF and, as a result, may be deemed to indirectly beneficially own securities of the Issuer held by BRF, BRPLP and BRPI. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein except to the extent of such person's pecuniary interest therein. Read SEC document |
| June 04, 2020 Filed Jun 29, 2020 23:27 UTC | DNA X, Inc. SONM · Entity 8261 | PurchaseConvertible Promissory Note (right to buy) · Derivative | Not disclosed | Not disclosed Strike: $8.87 | $3,500,000.00 |
DisclosureSEC source: 0001213900-20-016203 · ownership.xml · derivative · entry 10 B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · Director · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · Director · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · Director · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · Director · See Remarks RILEY BRYANT R · CIK 0001207269 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By BRPLP Disclosed balance after: Not disclosed Underlying: Common Stock · 410,469.03 shares Expires 2022-09-21 F8 · price: On June 4, 2020, BRPI sold to BRPLP a $3,500,000 participation in the Convertible Promissory Note, dated April 9, 2018, as amended (the "Convertible Promissory Note") for $3,500,000 in cash. F1 · ownership.nature: 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"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI") and Bryant R. Riley. BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own securities of the Issuer held by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own securities of the Issuer held by BRPI. Bryant R. Riley is the Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF and, as a result, may be deemed to indirectly beneficially own securities of the Issuer held by BRF, BRPLP and BRPI. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein except to the extent of such person's pecuniary interest therein. F8 · ownership.nature: On June 4, 2020, BRPI sold to BRPLP a $3,500,000 participation in the Convertible Promissory Note, dated April 9, 2018, as amended (the "Convertible Promissory Note") for $3,500,000 in cash. Read SEC document |
| June 04, 2020 Filed Jun 29, 2020 23:27 UTC | DNA X, Inc. SONM · Entity 8261 | SaleConvertible Promissory Note (right to buy) · Derivative | Not disclosed | Not disclosed Strike: $8.87 | $3,500,000.00 |
DisclosureSEC source: 0001213900-20-016203 · ownership.xml · derivative · entry 9 B. Riley Financial, Inc. · CIK 0001464790 · Director · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · Director · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · Director · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · Director · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · Director · See Remarks RILEY BRYANT R · CIK 0001207269 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By BRPI Disclosed balance after: Not disclosed Underlying: Common Stock · 410,469.03 shares Expires 2022-09-21 F8 · price: On June 4, 2020, BRPI sold to BRPLP a $3,500,000 participation in the Convertible Promissory Note, dated April 9, 2018, as amended (the "Convertible Promissory Note") for $3,500,000 in cash. F1 · ownership.nature: 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"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI") and Bryant R. Riley. BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own securities of the Issuer held by BRPLP. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own securities of the Issuer held by BRPI. Bryant R. Riley is the Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF and, as a result, may be deemed to indirectly beneficially own securities of the Issuer held by BRF, BRPLP and BRPI. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein except to the extent of such person's pecuniary interest therein. F8 · ownership.nature: On June 4, 2020, BRPI sold to BRPLP a $3,500,000 participation in the Convertible Promissory Note, dated April 9, 2018, as amended (the "Convertible Promissory Note") for $3,500,000 in cash. Read SEC document |
| May 28, 2020 Filed Jun 5, 2020 20:30 UTC Amendment | Eos Energy Enterprises, Inc. BMRG · Entity 4901 | OtherClass B Common Stock · Derivative | 656,250 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-20-014309 · ownership.xml · derivative · entry 4 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co. II, LLC · CIK 0001811637 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Principal Sponsor Co. II, LLC Disclosed balance after: 4,295,000 Underlying: Class A Common Stock · 656,250 shares Expires not disclosed F5 · derivative.exercise_price: The reported shares of Class B common stock are convertible for shares of the Issuer's Class A common stock as described under the heading "Description of Securities" in the Registration Statement and have no expiration date. F6 · kind: 656,250 shares of Class B Common Stock were forfeited to the Issuer at no cost in connection with the determination by the underwriters not to exercise their over-allotment option in whole or in part, as described in the Registration Statement. F5 · price: The reported shares of Class B common stock are convertible for shares of the Issuer's Class A common stock as described under the heading "Description of Securities" in the Registration Statement and have no expiration date. F5 · derivative.exercise_date: The reported shares of Class B common stock are convertible for shares of the Issuer's Class A common stock as described under the heading "Description of Securities" in the Registration Statement and have no expiration date. F5 · derivative.expiration_date: The reported shares of Class B common stock are convertible for shares of the Issuer's Class A common stock as described under the heading "Description of Securities" in the Registration Statement and have no expiration date. F4 · ownership.nature: B. Riley Principal Investments, LLC ("BRPI") is the sole member of B. Riley Principal Sponsor Co. II, LLC (the "Sponsor") and is a wholly-owned subsidiary of B. Riley Financial, Inc. ("BRF"). BRPI and BRF have voting and dispositive power over the securities held by the Sponsor. Each of BRPI and BRF disclaims beneficial ownership over any securities directly held by the Sponsor other than to the extent of any pecuniary interest it may have therein, directly or indirectly. Read SEC document |
| May 22, 2020 Filed May 22, 2020 20:07 UTC | Eos Energy Enterprises, Inc. BMRG · Entity 4901 | OtherClass A Common Stock | 650,000 | $10.00 | $6,500,000.00 |
DisclosureSEC source: 0001213900-20-013374 · ownership.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co. II, LLC · CIK 0001811637 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Principal Sponsor Co. II, LLC Disclosed balance after: 650,000 F1 · kind: The reported shares of Class A Common Stock are within 650,000 of the Issuer's Private Placement Units, as described under the heading "Description of Securities " in the Issuer's registration statement on Form S-1 (File No. 333- 237812), purchased by the Reporting Persons for $10.00 per Private Placement Unit. F2 · ownership.nature: B. Riley Principal Investments, LLC ("BRPI") is the sole member of B. Riley Principal Sponsor Co. II, LLC (the "Sponsor") and is a wholly-owned subsidiary of B. Riley Financial, Inc. ("BRF"). BRPI and BRF have voting and dispositive power over the securities held by the Sponsor. Each of BRPI and BRF disclaims beneficial ownership over any securities directly held by the Sponsor other than to the extent of any pecuniary interest it may have therein, directly or indirectly. Read SEC document |
| May 22, 2020 Filed Jun 5, 2020 20:30 UTC Amendment | Eos Energy Enterprises, Inc. BMRG · Entity 4901 | OtherClass A Common Stock | 650,000 | $10.00 | $6,500,000.00 |
DisclosureSEC source: 0001213900-20-014309 · ownership.xml · nonDerivative · entry 3 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co. II, LLC · CIK 0001811637 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Principal Sponsor Co. II, LLC Disclosed balance after: 650,000 F3 · kind: The reported shares of Class A Common Stock are within 650,000 of the Issuer's Private Placement Units, as described under the heading "Description of Securities " in the Issuer's registration statement on Form S-1 (File No. 333- 237812), purchased by the Reporting Persons for $10.00 per Private Placement Unit. F4 · ownership.nature: B. Riley Principal Investments, LLC ("BRPI") is the sole member of B. Riley Principal Sponsor Co. II, LLC (the "Sponsor") and is a wholly-owned subsidiary of B. Riley Financial, Inc. ("BRF"). BRPI and BRF have voting and dispositive power over the securities held by the Sponsor. Each of BRPI and BRF disclaims beneficial ownership over any securities directly held by the Sponsor other than to the extent of any pecuniary interest it may have therein, directly or indirectly. Read SEC document |
| May 21, 2020 Filed Jun 5, 2020 20:30 UTC Amendment | Eos Energy Enterprises, Inc. BMRG · Entity 4901 | PurchaseClass A Common Stock | 16,300 | $9.98 | $162,674.00 |
DisclosureSEC source: 0001213900-20-014309 · ownership.xml · nonDerivative · entry 2 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co. II, LLC · CIK 0001811637 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By BRC Partners Opportunity Fund, L.P. Disclosed balance after: 50,000 F1 · kind: The reported shares of Class A Common Stock are within the Issuer's public units, as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-237812) (the "Registration Statement"). These shares were inadvertently omitted from the Form 4 filed by the reporting persons on May 22, 2020. F2 · ownership.nature: BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), is the general partner of BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"). B. Riley Capital Management, LLC, a New York limited liability company ("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. Read SEC document |
| May 20, 2020 Filed Jun 5, 2020 20:30 UTC Amendment | Eos Energy Enterprises, Inc. BMRG · Entity 4901 | PurchaseClass A Common Stock | 33,700 | $9.99 | $336,575.38 |
DisclosureSEC source: 0001213900-20-014309 · ownership.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co. II, LLC · CIK 0001811637 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By BRC Partners Opportunity Fund, L.P. Disclosed balance after: 33,700 F1 · kind: The reported shares of Class A Common Stock are within the Issuer's public units, as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-237812) (the "Registration Statement"). These shares were inadvertently omitted from the Form 4 filed by the reporting persons on May 22, 2020. F2 · ownership.nature: BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), is the general partner of BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"). B. Riley Capital Management, LLC, a New York limited liability company ("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. Read SEC document |
| March 12, 2020 Filed Mar 13, 2020 18:57 UTC | ALTA EQUIPMENT GROUP INC. ALTG · Entity 6371 | PurchaseCommon Stock | 63,398 | $6.09 | $386,264.99 |
DisclosureSEC source: 0001213900-20-006370 · ownership.xml · nonDerivative · entry 2 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 5,848,317 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP, and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRPLP. Read SEC document |
| March 11, 2020 Filed Mar 13, 2020 18:57 UTC | ALTA EQUIPMENT GROUP INC. ALTG · Entity 6371 | PurchaseCommon Stock | 29,438 | $7.31 | $215,100.52 |
DisclosureSEC source: 0001213900-20-006370 · ownership.xml · nonDerivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 5,784,919 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP, and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRPLP. Read SEC document |
| March 06, 2020 Filed Mar 10, 2020 17:30 UTC | ALTA EQUIPMENT GROUP INC. ALTG · Entity 6371 | PurchaseWarrants (right to buy) · Derivative | 66,201 | $1.20 Strike: $11.50 | $79,441.20 |
DisclosureSEC source: 0001213900-20-005907 · ownership.xml · derivative · entry 1 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 1,399,420 Underlying: Common Stock · 66,201 shares Expires not disclosed F4 · derivative.exercise_date: The warrants will become exercisable on April 11, 2020, which is 12 months from the closing of the initial public offering of the Issuer. F5 · derivative.expiration_date: The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation, as further described in the Prospectus. F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP, and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRPLP. Read SEC document |
| March 03, 2020 Filed Mar 3, 2020 20:04 UTC | ALTA EQUIPMENT GROUP INC. ALTG · Entity 6371 | PurchaseWarrants (right to buy) · Derivative | 33,000 | $1.20 Strike: $11.50 | $39,600.00 |
DisclosureSEC source: 0001213900-20-005345 · ownership.xml · derivative · entry 11 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 1,333,219 Underlying: Common Stock · 33,000 shares Expires not disclosed F5 · derivative.exercise_date: The warrants will become exercisable on April 11, 2020, which is 12 months from the closing of the initial public offering of the Issuer. F6 · derivative.expiration_date: The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation, as further described in the Prospectus. F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP, and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F4 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRFBR. Read SEC document |
| March 03, 2020 Filed Mar 3, 2020 20:04 UTC | ALTA EQUIPMENT GROUP INC. ALTG · Entity 6371 | PurchaseWarrants (right to buy) · Derivative | 33,000 | $1.20 Strike: $11.50 | $39,600.00 |
DisclosureSEC source: 0001213900-20-005345 · ownership.xml · derivative · entry 10 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 1,300,219 Underlying: Common Stock · 33,000 shares Expires not disclosed F5 · derivative.exercise_date: The warrants will become exercisable on April 11, 2020, which is 12 months from the closing of the initial public offering of the Issuer. F6 · derivative.expiration_date: The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation, as further described in the Prospectus. F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP, and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRPLP. Read SEC document |
| March 03, 2020 Filed Mar 3, 2020 20:04 UTC | ALTA EQUIPMENT GROUP INC. ALTG · Entity 6371 | PurchaseCommon Stock | 552 | $8.45 | $4,663.90 |
DisclosureSEC source: 0001213900-20-005345 · ownership.xml · nonDerivative · entry 6 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 5,755,481 F7 · price: Shares were purchased at a price of $8.44906. F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP, and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F4 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRFBR. Read SEC document |
| March 03, 2020 Filed Mar 3, 2020 20:04 UTC | ALTA EQUIPMENT GROUP INC. ALTG · Entity 6371 | PurchaseCommon Stock | 100 | $8.45 | $844.50 |
DisclosureSEC source: 0001213900-20-005345 · ownership.xml · nonDerivative · entry 5 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 5,754,929 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP, and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F4 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRFBR. Read SEC document |
| March 03, 2020 Filed Mar 3, 2020 20:04 UTC | ALTA EQUIPMENT GROUP INC. ALTG · Entity 6371 | PurchaseCommon Stock | 167,209 | $8.40 | $1,404,555.60 |
DisclosureSEC source: 0001213900-20-005345 · ownership.xml · nonDerivative · entry 4 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 5,754,829 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP, and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F4 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRFBR. Read SEC document |
| March 03, 2020 Filed Mar 3, 2020 20:04 UTC | ALTA EQUIPMENT GROUP INC. ALTG · Entity 6371 | PurchaseCommon Stock | 21,421 | $8.45 | $181,007.45 |
DisclosureSEC source: 0001213900-20-005345 · ownership.xml · nonDerivative · entry 3 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 5,587,620 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP, and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F4 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRFBR. Read SEC document |
| March 03, 2020 Filed Apr 27, 2020 18:46 UTC Amendment | ALTA EQUIPMENT GROUP INC. ALTG · Entity 6371 | PurchaseWarrants (right to buy) · Derivative | 33,000 | $1.20 Strike: $11.50 | $39,600.00 |
DisclosureSEC source: 0001213900-20-010218 · ownership.xml · derivative · entry 10 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 1,333,219 Underlying: Common Stock · 33,000 shares Expires not disclosed F5 · derivative.exercise_date: The warrants will become exercisable on April 11, 2020, which is 12 months from the closing of the initial public offering of the Issuer. F6 · derivative.expiration_date: The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation, as further described in the Prospectus. F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP, and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F4 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRFBR. Read SEC document |
| March 03, 2020 Filed Apr 27, 2020 18:46 UTC Amendment | ALTA EQUIPMENT GROUP INC. ALTG · Entity 6371 | PurchaseWarrants (right to buy) · Derivative | 33,000 | $1.20 Strike: $11.50 | $39,600.00 |
DisclosureSEC source: 0001213900-20-010218 · ownership.xml · derivative · entry 9 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 1,300,219 Underlying: Common Stock · 33,000 shares Expires not disclosed F5 · derivative.exercise_date: The warrants will become exercisable on April 11, 2020, which is 12 months from the closing of the initial public offering of the Issuer. F6 · derivative.expiration_date: The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation, as further described in the Prospectus. F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP, and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F3 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRPLP. Read SEC document |
| March 03, 2020 Filed Apr 27, 2020 18:46 UTC Amendment | ALTA EQUIPMENT GROUP INC. ALTG · Entity 6371 | PurchaseCommon Stock | 552 | $8.45 | $4,663.90 |
DisclosureSEC source: 0001213900-20-010218 · ownership.xml · nonDerivative · entry 6 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 5,755,481 F7 · price: Shares were purchased at a price of $8.44906. F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP, and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F4 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRFBR. Read SEC document |
| March 03, 2020 Filed Apr 27, 2020 18:46 UTC Amendment | ALTA EQUIPMENT GROUP INC. ALTG · Entity 6371 | PurchaseCommon Stock | 100 | $8.45 | $844.50 |
DisclosureSEC source: 0001213900-20-010218 · ownership.xml · nonDerivative · entry 5 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 5,754,929 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP, and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F4 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRFBR. Read SEC document |
| March 03, 2020 Filed Apr 27, 2020 18:46 UTC Amendment | ALTA EQUIPMENT GROUP INC. ALTG · Entity 6371 | PurchaseCommon Stock | 167,209 | $8.40 | $1,404,555.60 |
DisclosureSEC source: 0001213900-20-010218 · ownership.xml · nonDerivative · entry 4 B. Riley Financial, Inc. · CIK 0001464790 · 10% owner B. Riley Principal Sponsor Co., LLC · CIK 0001772457 · 10% owner B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner B. Riley FBR, Inc. · CIK 0001505748 · 10% owner B. RILEY PRINCIPAL INVESTMENTS, LLC · CIK 0001776226 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See notes Disclosed balance after: 5,754,829 F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP, and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor, and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI. F4 · ownership.nature: Represents shares of Common Stock or warrants held directly by BRFBR. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.