0001213900-22-041838.txt : 20220726
0001213900-22-041838.hdr.sgml : 20220726
20220726213038
ACCESSION NUMBER: 0001213900-22-041838
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20220720
FILED AS OF DATE: 20220726
DATE AS OF CHANGE: 20220726
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: RILEY BRYANT R
CENTRAL INDEX KEY: 0001207269
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36876
FILM NUMBER: 221108657
MAIL ADDRESS:
STREET 1: C/O B. RILEY FINANCIAL, INC.
STREET 2: 21255 BURBANK BLVD, SUITE 400
CITY: WOODLAND HILLS
STATE: CA
ZIP: 91367
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: B. Riley Financial, Inc.
CENTRAL INDEX KEY: 0001464790
STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282]
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36876
FILM NUMBER: 221108660
BUSINESS ADDRESS:
STREET 1: 11100 SANTA MONICA BLVD
STREET 2: SUITE 800
CITY: LOS ANGELES
STATE: CA
ZIP: 90025
BUSINESS PHONE: 818-884-3737
MAIL ADDRESS:
STREET 1: 11100 SANTA MONICA BLVD
STREET 2: SUITE 800
CITY: LOS ANGELES
STATE: CA
ZIP: 90025
FORMER NAME:
FORMER CONFORMED NAME: Great American Group, Inc.
DATE OF NAME CHANGE: 20090522
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BRF Investments, LLC
CENTRAL INDEX KEY: 0001880803
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36876
FILM NUMBER: 221108658
BUSINESS ADDRESS:
STREET 1: 11100 SANTA MONICA BLVD.
STREET 2: SUITE 800
CITY: LOS ANGELES
STATE: CA
ZIP: 90025
BUSINESS PHONE: 818-884-3737
MAIL ADDRESS:
STREET 1: 11100 SANTA MONICA BLVD.
STREET 2: SUITE 800
CITY: LOS ANGELES
STATE: CA
ZIP: 90025
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: B. Riley Securities, Inc.
CENTRAL INDEX KEY: 0001505748
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36876
FILM NUMBER: 221108659
BUSINESS ADDRESS:
STREET 1: 11100 SANTA MONICA BLVD
STREET 2: SUITE 800
CITY: LOS ANGELES
STATE: CA
ZIP: 90025
BUSINESS PHONE: 310-966-1444
MAIL ADDRESS:
STREET 1: 11100 SANTA MONICA BLVD
STREET 2: SUITE 800
CITY: LOS ANGELES
STATE: CA
ZIP: 90025
FORMER NAME:
FORMER CONFORMED NAME: B. Riley FBR, Inc.
DATE OF NAME CHANGE: 20180830
FORMER NAME:
FORMER CONFORMED NAME: FBR Capital Markets & Co
DATE OF NAME CHANGE: 20101115
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Babcock & Wilcox Enterprises, Inc.
CENTRAL INDEX KEY: 0001630805
STANDARD INDUSTRIAL CLASSIFICATION: HEATING EQUIPMENT, EXCEPT ELECTRIC & WARM AIR FURNACES [3433]
IRS NUMBER: 472783641
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 1200 E. MARKET STREET, SUITE 650
CITY: AKRON
STATE: OH
ZIP: 44305
BUSINESS PHONE: 3308606205
MAIL ADDRESS:
STREET 1: 1200 E. MARKET STREET, SUITE 650
CITY: AKRON
STATE: OH
ZIP: 44305
4
1
ownership.xml
X0306
4
2022-07-20
0
0001630805
Babcock & Wilcox Enterprises, Inc.
BW
0001464790
B. Riley Financial, Inc.
11100 SANTA MONICA BLVD
SUITE 800
LOS ANGELES
CA
90025
0
0
1
0
0001505748
B. Riley Securities, Inc.
11100 SANTA MONICA BLVD
SUITE 800
LOS ANGELES
CA
90025
0
0
1
0
0001880803
BRF Investments, LLC
11100 SANTA MONICA BLVD.
SUITE 800
LOS ANGELES
CA
90025
0
0
1
0
0001207269
RILEY BRYANT R
11100 SANTA MONICA BLVD.,
SUITE 800
LOS ANGELES
CA
90025
0
0
1
0
Common Stock, $0.01 par value per share
2022-07-20
4
X
0
1541666
A
15256240
I
By BRF Investments, LLC
Common Stock, $0.01 par value per share
11531099
I
By B. Riley Securities, Inc.
Common Stock, $0.01 par value per share
296788
D
Common Stock, $0.01 par value per share
37353
I
Held in Bryant R. Riley's 401(k) account
Common Stock, $0.01 par value per share
33733
I
By Bryant R. Riley, as UTMA custodian for Abigail Riley
Common Stock, $0.01 par value per share
33733
I
By Bryant R. Riley, as UTMA custodian for Charlie Riley
Common Stock, $0.01 par value per share
31747
I
By Bryant R. Riley, as UTMA custodian for Susan Riley
Common Stock, $0.01 par value per share
33735
I
By Bryant R. Riley, as UTMA custodian for Eloise Riley
Warrants (right to buy)
0.01
2022-07-20
4
X
0
1541666.7
D
2019-07-23
2022-07-23
Common Stock
1541666
0
I
By BRF Investments, LLC
This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), BRF Investments, LLC, a Delaware corporation ("BRFI"), and Bryant R. Riley.
BRF is the parent company of BRS and BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS and BRFI.
Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRS and BRFI. Each of BRF, BRS, BRFI, and Bryant R. Riley disclaims beneficial ownership of the outstanding shares of Common Stock reported herein, except to the extent of its/his respective pecuniary interest therein.
Represents shares held directly by Bryant R. Riley.
On July 20, 2022, BRFI exercised 1,541,666.7 warrants to purchase 1,541,666 shares of Common Stock of the Issuer at a price per share of $0.01 per the warrant agreement between BRF and the Issuer dated July 23, 2019, subsequently transferred to BRFI from BRF on June 21, 2021 (the "Warrant Agreement").
B. Riley Financial, Inc., by: /s/ Bryant R. Riley, Co-Chief Executive Officer
2022-07-26
B. Riley Securities, Inc., by: /s/ Andrew Moore, Chief Executive Officer
2022-07-26
BRF Investments, LLC, by: /s/ Phillip Ahn, Authorized Signatory
2022-07-26
Bryant R. Riley, by: /s/ Bryant R. Riley
2022-07-26