0001213900-23-086625.txt : 20231114 0001213900-23-086625.hdr.sgml : 20231114 20231114121926 ACCESSION NUMBER: 0001213900-23-086625 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231110 FILED AS OF DATE: 20231114 DATE AS OF CHANGE: 20231114 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: 001-40574 FILM NUMBER: 231403124 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: RILEY BRYANT R CENTRAL INDEX KEY: 0001207269 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40574 FILM NUMBER: 231403121 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: 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: 001-40574 FILM NUMBER: 231403122 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: 001-40574 FILM NUMBER: 231403123 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: SYNCHRONOSS TECHNOLOGIES INC CENTRAL INDEX KEY: 0001131554 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROGRAMMING SERVICES [7371] IRS NUMBER: 061594540 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 200 CROSSING BOULEVARD STREET 2: 3RD FLOOR CITY: BRIDGEWATER STATE: NJ ZIP: 08807 BUSINESS PHONE: 866-620-3940 MAIL ADDRESS: STREET 1: 200 CROSSING BOULEVARD STREET 2: 3RD FLOOR CITY: BRIDGEWATER STATE: NJ ZIP: 08807 4 1 ownership.xml X0508 4 2023-11-10 0 0001131554 SYNCHRONOSS TECHNOLOGIES INC SNCR 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 2023-11-10 4 P 0 544972 0.4458 A 2025471 I By B. Riley Securities, Inc. Common Stock 2023-11-13 4 P 0 25000 0.45 A 2050471 I By B. Riley Securities, Inc. Common Stock 10600000 I By BRF Investments, LLC Common Stock 913774 D Common Stock 2457 I By Bryant R. Riley, as UTMA custodian for Charlie Riley Common Stock 2457 I By Bryant R. Riley, as UTMA custodian for Susan Riley Common Stock 2457 I By Bryant R. Riley, as UTMA custodian for Abigail Riley Common Stock 2457 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 $0.419 to $0.45, inclusive. The Filing Persons undertake to provide the Commission, upon request, full information regarding the number of shares purchased at each separate price. Represents 10,600,000 shares of Common Stock previously owned by BRS and subsequently transferred to BRFI. B. Riley Financial, Inc., by: /s/ Bryant R. Riley, Co-Chief Executive Officer 2023-11-14 B. Riley Securities, Inc., by: /s/ Andrew Moore, Chief Executive Officer 2023-11-14 BRF Investments, LLC, by: /s/ Phillip Ahn, Authorized Signatory 2023-11-14 Bryant R. Riley, by: /s/ Bryant R. Riley 2023-11-14