0001144204-14-014899.txt : 20140311 0001144204-14-014899.hdr.sgml : 20140311 20140311170802 ACCESSION NUMBER: 0001144204-14-014899 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140307 FILED AS OF DATE: 20140311 DATE AS OF CHANGE: 20140311 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: STR HOLDINGS, INC. CENTRAL INDEX KEY: 0001473597 STANDARD INDUSTRIAL CLASSIFICATION: UNSUPPORTED PLASTICS FILM & SHEET [3081] IRS NUMBER: 271023344 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 18 CRAFTSMAN ROAD CITY: EAST WINDSOR STATE: CT ZIP: 06088 BUSINESS PHONE: 860-758-7300 MAIL ADDRESS: STREET 1: 18 CRAFTSMAN ROAD CITY: EAST WINDSOR STATE: CT ZIP: 06088 FORMER COMPANY: FORMER CONFORMED NAME: STR Holdings, Inc. DATE OF NAME CHANGE: 20091106 FORMER COMPANY: FORMER CONFORMED NAME: STR Holdings (New) LLC DATE OF NAME CHANGE: 20091001 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: EQUITEC PROPRIETARY MARKETS, LLC CENTRAL INDEX KEY: 0001143261 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34529 FILM NUMBER: 14685008 BUSINESS ADDRESS: STREET 1: 111 W. JACKSON STREET 2: 20TH FL.OOR CITY: CHICAGO STATE: IL ZIP: 60604 BUSINESS PHONE: 312 692-5009 MAIL ADDRESS: STREET 1: 111 W. JACKSON STREET 2: 20TH FLOOR CITY: CHICAGO STATE: IL ZIP: 60604 FORMER NAME: FORMER CONFORMED NAME: EQUITEC PROPRIETARY MARKETS LLC /BD DATE OF NAME CHANGE: 20010620 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Riley Investment Partners LP CENTRAL INDEX KEY: 0001123770 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34529 FILM NUMBER: 14685009 BUSINESS ADDRESS: STREET 1: 11100 SANTA MONICA BLVD STE 810 CITY: LOS ANGELES STATE: CA ZIP: 90025 BUSINESS PHONE: 310-966-1444 MAIL ADDRESS: STREET 1: 11100 SANTA MONICA BLVD STE 810 CITY: LOS ANGELES STATE: CA ZIP: 90025 FORMER NAME: FORMER CONFORMED NAME: SACC PARTNERS LP DATE OF NAME CHANGE: 20000913 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: B. Riley & Co., LLC CENTRAL INDEX KEY: 0001337002 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34529 FILM NUMBER: 14685010 BUSINESS ADDRESS: STREET 1: 11100 SANTA MONICA BLVD. STREET 2: STE. 800 CITY: LOS ANGELES STATE: CA ZIP: 90025 BUSINESS PHONE: 310-966-1444 MAIL ADDRESS: STREET 1: 11100 SANTA MONICA BLVD. STREET 2: STE. 800 CITY: LOS ANGELES STATE: CA ZIP: 90025 FORMER NAME: FORMER CONFORMED NAME: B. Riley & Co., Inc. DATE OF NAME CHANGE: 20050824 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Riley Investment Management LLC CENTRAL INDEX KEY: 0001345523 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34529 FILM NUMBER: 14685011 BUSINESS ADDRESS: STREET 1: 11100 SANTA MONICA BLVD. STREET 2: SUITE 810 CITY: LOS ANGELES STATE: CA ZIP: 90025 BUSINESS PHONE: 310-966-1444 MAIL ADDRESS: STREET 1: 11100 SANTA MONICA BLVD. STREET 2: SUITE 810 CITY: LOS ANGELES STATE: CA ZIP: 90025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RILEY BRYANT R CENTRAL INDEX KEY: 0001207269 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34529 FILM NUMBER: 14685012 MAIL ADDRESS: STREET 1: 11100 SANTA MONICA BLVD STE 810 CITY: LOS ANGELES STATE: CA ZIP: 90025 3 1 form330593_20140311050741-.xml X0206 3 2014-03-07 0 0001473597 STR HOLDINGS, INC. STRI 0001207269 RILEY BRYANT R 11100 SANTA MONICA BLVD., SUITE 800 LOS ANGELES CA US 90025 0 0 1 0 0001345523 Riley Investment Management LLC 11100 SANTA MONICA BLVD., SUITE 800 LOS ANGELES CA US 90025 0 0 1 0 0001337002 B. Riley & Co., LLC 11100 SANTA MONICA BLVD. SUITE 800 LOS ANGELES CA US 90025 0 0 1 0 0001123770 Riley Investment Partners LP 11100 SANTA MONICA BLVD., SUITE 800 SANTA MONICA CA US 90025 0 0 1 0 0001143261 EQUITEC PROPRIETARY MARKETS, LLC 111 W. JACKSON 20TH FLOOR CHICAGO IL US 60604 0 0 1 0 Common Stock 997840 D Common Stock 588400 I By B. Riley and Co., LLC Common Stock 407202 I By Riley Investment Partners, LP Common Stock 1125000 I By Equitec Proprietary Markets, LLC This Form 3 is filed jointly by Bryant R. Riley, Riley Investment Management LLC, Riley Investment Partners, LP, B. Riley and Co., LLC., and Equitec Proprietary Markets, LLC (collectively, the "Reporting Persons"). Each Reporting Person is a member of a reporting group that owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock. As such, each Reporting Person may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose. Beneficially owned by Mr. Riley and his wife. Beneficially owned by B. Riley and Co., LLC. Mr. Riley, as Chairman of B. Riley and Co., LLC, may be deemed to beneficially own the shares beneficially owned by B. Riley and Co., LLC. Beneficially owned by Riley Investment Partners, L.P. Riley Investment Management LLC, as the general partner and investment advisor to Riley Investment Partners, L.P., and Mr. Riley, as the Managing Member of Riley Investment Management LLC, may be deemed to beneficially own the shares beneficially owned by Riley Investment Partners, L.P. Beneficially owned by Equitec Proprietary Markets, LLC. Bryant R. Riley 2014-03-11 Bryant R. Riley, Managing Member 2014-03-11 Bryant R. Riley, Chairman 2014-03-11 Bryant R. Riley, as Managing Member of Riley Investment Management, LLC, its General Partner 2014-03-11 Fred Goldman, CFO 2014-03-11