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