0001213900-19-021860.txt : 20191101
0001213900-19-021860.hdr.sgml : 20191101
20191101203334
ACCESSION NUMBER: 0001213900-19-021860
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20191030
FILED AS OF DATE: 20191101
DATE AS OF CHANGE: 20191101
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: 001-38907
FILM NUMBER: 191188091
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: Young Kenneth M
CENTRAL INDEX KEY: 0001365572
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38907
FILM NUMBER: 191188092
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 FBR, 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: 001-38907
FILM NUMBER: 191188093
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: FBR Capital Markets & Co
DATE OF NAME CHANGE: 20101115
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: B. RILEY PRINCIPAL INVESTMENTS, LLC
CENTRAL INDEX KEY: 0001776226
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38907
FILM NUMBER: 191188094
BUSINESS ADDRESS:
STREET 1: 21255 BURBANK BLVD, SUITE 400
CITY: WOODLAND HILLS
STATE: CA
ZIP: 91367
BUSINESS PHONE: 818-884-3737
MAIL ADDRESS:
STREET 1: 21255 BURBANK BLVD, SUITE 400
CITY: WOODLAND HILLS
STATE: CA
ZIP: 91367
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: B. RILEY CAPITAL MANAGEMENT, LLC
CENTRAL INDEX KEY: 0001658704
STATE OF INCORPORATION: NY
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38907
FILM NUMBER: 191188095
BUSINESS ADDRESS:
STREET 1: 11100 SANTA MONICA BLVD.
STREET 2: SUITE 800
CITY: LOS ANGELES
STATE: CA
ZIP: 90025
BUSINESS PHONE: 310-966-1445
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: BRC Partners Management GP, LLC
CENTRAL INDEX KEY: 0001749420
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38907
FILM NUMBER: 191188096
BUSINESS ADDRESS:
STREET 1: 11100 SANTA MONICA BLVD SUITE 800
CITY: LOS ANGELES
STATE: CA
ZIP: 90025
BUSINESS PHONE: 310-689-2220
MAIL ADDRESS:
STREET 1: 11100 SANTA MONICA BLVD SUITE 800
CITY: LOS ANGELES
STATE: CA
ZIP: 90025
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BRC Partners Opportunity Fund, LP
CENTRAL INDEX KEY: 0001642765
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38907
FILM NUMBER: 191188097
BUSINESS ADDRESS:
STREET 1: 11100 SANTA MONICA BLVD. SUITE 800
CITY: LOS ANGELES
STATE: CA
ZIP: 90025
BUSINESS PHONE: 310-966-1445
MAIL ADDRESS:
STREET 1: 11100 SANTA MONICA BLVD. SUITE 800
CITY: LOS ANGELES
STATE: CA
ZIP: 90025
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: B. Riley Financial, Inc.
CENTRAL INDEX KEY: 0001464790
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389]
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38907
FILM NUMBER: 191188098
BUSINESS ADDRESS:
STREET 1: 21255 BURBANK BLVD.
STREET 2: SUITE 400
CITY: WOODLAND HILLS
STATE: CA
ZIP: 91367
BUSINESS PHONE: 818-884-3737
MAIL ADDRESS:
STREET 1: 21255 BURBANK BLVD.
STREET 2: SUITE 400
CITY: WOODLAND HILLS
STATE: CA
ZIP: 91367
FORMER NAME:
FORMER CONFORMED NAME: Great American Group, Inc.
DATE OF NAME CHANGE: 20090522
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: SONIM TECHNOLOGIES INC
CENTRAL INDEX KEY: 0001178697
STANDARD INDUSTRIAL CLASSIFICATION: TELEPHONE & TELEGRAPH APPARATUS [3661]
IRS NUMBER: 943336783
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 1875 SOUTH GRANT STREET
STREET 2: SUITE 750
CITY: SAN MATEO
STATE: CA
ZIP: 94402
BUSINESS PHONE: 650-378-8100
MAIL ADDRESS:
STREET 1: 1875 SOUTH GRANT STREET
STREET 2: SUITE 750
CITY: SAN MATEO
STATE: CA
ZIP: 94402
4
1
ownership.xml
X0306
4
2019-10-30
0
0001178697
SONIM TECHNOLOGIES INC
SONM
0001464790
B. Riley Financial, Inc.
21255 BURBANK BLVD.
SUITE 400
WOODLAND HILLS
CA
91367
1
0
1
0
0001642765
BRC Partners Opportunity Fund, LP
11100 SANTA MONICA BLVD. SUITE 800
LOS ANGELES
CA
90025
0
0
1
0
0001749420
BRC Partners Management GP, LLC
11100 SANTA MONICA BLVD SUITE 800
LOS ANGELES
CA
90025
0
0
1
0
0001658704
B. RILEY CAPITAL MANAGEMENT, LLC
11100 SANTA MONICA BLVD.
SUITE 800
LOS ANGELES
CA
90025
0
0
1
0
0001776226
B. RILEY PRINCIPAL INVESTMENTS, LLC
21255 BURBANK BLVD, SUITE 400
WOODLAND HILLS
CA
91367
0
0
1
0
0001505748
B. Riley FBR, Inc.
11100 SANTA MONICA BLVD
SUITE 800
LOS ANGELES
CA
90025
0
0
1
0
0001365572
Young Kenneth M
21255 BURBANK BOULEVARD, SUITE 400
WOODLAND HILLS
CA
91367
1
0
0
0
0001207269
RILEY BRYANT R
21255 BURBANK BOULEVARD, SUITE 400
WOODLAND HILLS
CA
91367
0
0
1
0
Common Stock
2019-10-30
4
P
0
200
2.71
A
200
I
By B. Riley FBR, Inc.
Common Stock
2019-10-30
4
P
0
100
2.695
A
300
I
By B. Riley FBR, Inc.
Common Stock
2019-10-30
4
P
0
200
2.70
A
500
I
By B. Riley FBR, Inc.
Common Stock
2019-10-30
4
P
0
25000
2.70
A
25500
I
By B. Riley FBR, Inc.
Common Stock
2019-10-30
4
S
0
11265
2.65
D
14235
I
By B. Riley FBR, Inc.
Common Stock
2019-10-30
4
S
0
200
2.67
D
14035
I
By B. Riley FBR, Inc.
Common Stock
2019-10-30
4
S
0
500
2.66
D
13535
I
By B. Riley FBR, Inc.
Common Stock
2019-10-30
4
S
0
200
2.6701
D
13335
I
By B. Riley FBR, Inc.
Common Stock
2019-10-30
4
S
0
1500
2.705
D
11835
I
By B. Riley FBR, Inc.
Common Stock
2019-10-30
4
S
0
600
2.705
D
11235
I
By B. Riley FBR, Inc.
Common Stock
2019-10-30
4
S
0
500
2.7025
D
10735
I
By B. Riley FBR, Inc.
Common Stock
2019-10-30
4
S
0
330
2.71
D
10405
I
By B. Riley FBR, Inc.
Common Stock
2019-10-30
4
S
0
400
2.805
D
10005
I
By B. Riley FBR, Inc.
Common Stock
2019-10-30
4
S
0
1000
2.8001
D
9005
I
By B. Riley FBR, Inc.
Common Stock
2019-10-30
4
S
0
8105
2.84
D
900
I
By B. Riley FBR, Inc.
Common Stock
2019-10-30
4
S
0
900
2.835
D
0
I
By B. Riley FBR, Inc.
Convertible Promissory Note (right to buy)
8.87
2019-10-23
5
J
0
E
366425.54
0
D
2018-04-09
2019-10-23
Common Stock
366425.54
732852.46
I
By B. Riley Principal Investments, LLC
In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley.
BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI.
Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein.
Expiration of a long position for no consideration. Pursuant to the terms of the Convertible Promissory Note, the amount of the Convertible Promissory Note convertible into shares of Common Stock was reduced to 50% of the principal outstanding as of October 23, 2019.
Certain of these transactions are matchable transactions under Section 16(b) of the Exchange Act. The reporting persons have disgorged the full amount of recoverable profits to the Issuer.
B. Riley Financial, Inc., by: /s/ Bryant R. Riley, Co-Chief Executive Officer
2019-11-01
BRC Partners Opportunity Fund, L.P., by: /s/ Bryant R. Riley, Chief Investment Officer
2019-11-01
BRC Partners Management GP, LLC, by: B. Riley Capital Management, LLC, its sole member, by: /s/ Bryant R. Riley, Chief Executive Officer
2019-11-01
B. Riley Capital Management, LLC, by: /s/ Bryant R. Riley, Chief Executive Officer
2019-11-01
B. Riley Principal Investments, LLC, by: /s/ Kenneth Young, Chief Executive Officer
2019-11-01
B. Riley FBR, Inc., by: /s/ Andy Moore, Chief Executive Officer
2019-11-01
/s/ Kenneth M. Young
2019-11-01
/s/ Bryant R. Riley
2019-11-01