0001213900-23-028124.txt : 20230406 0001213900-23-028124.hdr.sgml : 20230406 20230406213021 ACCESSION NUMBER: 0001213900-23-028124 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230404 FILED AS OF DATE: 20230406 DATE AS OF CHANGE: 20230406 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: 001-38864 FILM NUMBER: 23807646 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: 001-38864 FILM NUMBER: 23807649 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: 001-38864 FILM NUMBER: 23807647 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: 001-38864 FILM NUMBER: 23807648 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: ALTA EQUIPMENT GROUP INC. CENTRAL INDEX KEY: 0001759824 STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-INDUSTRIAL MACHINERY & EQUIPMENT [5084] IRS NUMBER: 832583782 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 13211 MERRIMAN ROAD CITY: LIVONIA STATE: MI ZIP: 48150 BUSINESS PHONE: (248) 449-6700 MAIL ADDRESS: STREET 1: 13211 MERRIMAN ROAD CITY: LIVONIA STATE: MI ZIP: 48150 FORMER COMPANY: FORMER CONFORMED NAME: B. Riley Principal Merger Corp. DATE OF NAME CHANGE: 20181121 4 1 ownership.xml X0407 4 2023-04-04 0 0001759824 ALTA EQUIPMENT GROUP INC. ALTG 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 0 Common Stock 2023-04-04 4 P 0 15000 14.1514 A 1036134 I By B. Riley Securities, Inc. Common Stock 2023-04-05 4 P 0 40000 13.4941 A 1076134 I By B. Riley Securities, Inc. Common Stock 4979629 I By BRF Investments, LLC Common Stock 624596 D Common Stock 1062 I By Bryant R. Riley, as UTMA custodian for Charlie Riley Common Stock 1062 I By Bryant R. Riley, as UTMA custodian for Susan Riley Common Stock 1062 I By Bryant R. Riley, as UTMA custodian for Abigail Riley Common Stock 1062 I By Bryant R. Riley, as UTMA custodian for Eloise Riley This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), BRF Investments, LLC, a Delaware limited liability company ("BRFI"), and Bryant R. Riley. 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. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $14.05 to $14.36, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares purchased at each separate price. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $13.4 to $13.6, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares purchased at each separate price. Represents 1,000,000 shares of Common Stock previously held by BRS and subsequently transferred to BRFI. B. Riley Financial, Inc., by: /s/ Bryant R. Riley, Co-Chief Executive Officer 2023-04-06 B. Riley Securities, Inc., by: /s/ Andrew Moore, Chief Executive Officer 2023-04-06 BRF Investments, LLC, by: /s/ Phillip Ahn, Authorized Signatory 2023-04-06 Bryant R. Riley, by: /s/ Bryant R. Riley 2023-04-06