0001213900-20-035663.txt : 20201106 0001213900-20-035663.hdr.sgml : 20201106 20201106190542 ACCESSION NUMBER: 0001213900-20-035663 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201104 FILED AS OF DATE: 20201106 DATE AS OF CHANGE: 20201106 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: 001-39291 FILM NUMBER: 201295675 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 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: 001-39291 FILM NUMBER: 201295676 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: 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: 001-39291 FILM NUMBER: 201295677 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: 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: 001-39291 FILM NUMBER: 201295678 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: 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: 001-39291 FILM NUMBER: 201295679 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 Principal Sponsor Co. II, LLC CENTRAL INDEX KEY: 0001811637 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39291 FILM NUMBER: 201295680 BUSINESS ADDRESS: STREET 1: 299 PARK AVENUE STREET 2: 21ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10171 BUSINESS PHONE: (212) 457-3300 MAIL ADDRESS: STREET 1: 299 PARK AVENUE STREET 2: 21ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10171 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: 001-39291 FILM NUMBER: 201295681 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: 001-39291 FILM NUMBER: 201295682 MAIL ADDRESS: STREET 1: C/O B. RILEY FINANCIAL, INC. STREET 2: 21255 BURBANK BLVD, SUITE 400 CITY: WOODLAND HILLS STATE: CA ZIP: 91367 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: B. Riley Principal Merger Corp. II CENTRAL INDEX KEY: 0001805077 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS ELECTRICAL MACHINERY, EQUIPMENT & SUPPLIES [3690] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 299 PARK AVENUE STREET 2: 21ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10171 BUSINESS PHONE: (212) 457-3300 MAIL ADDRESS: STREET 1: 299 PARK AVENUE STREET 2: 21TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10171 4 1 ownership.xml X0306 4 2020-11-04 0 0001805077 B. Riley Principal Merger Corp. II BMRG 0001464790 B. Riley Financial, Inc. 11100 SANTA MONICA BLVD, SUITE 800 LOS ANGELES CA 90025 0 0 1 0 0001811637 B. Riley Principal Sponsor Co. II, LLC C/O B. RILEY PRINCIPAL MERGER CORP.II 299 PARK AVENUE, 21ST FLOOR NEW YORK NY 10171 0 0 1 0 0001776226 B. RILEY PRINCIPAL INVESTMENTS, LLC 21255 BURBANK BLVD, SUITE 400 WOODLAND HILLS CA 91367 0 0 1 0 0001658704 B. RILEY CAPITAL MANAGEMENT, LLC 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 0001642765 BRC Partners Opportunity Fund, LP 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 0001207269 RILEY BRYANT R 11100 SANTA MONICA BLVD., SUITE 800 LOS ANGELES CA 90025 0 0 1 0 Class A Common Stock 2020-11-04 4 P 0 490000 10.0828 A 490000 I By B. Riley Securities, Inc. Class A Common Stock 2020-11-05 4 P 0 1037633 10.1002 A 1527633 I By B. Riley Securities, Inc. Class A Common Stock 2020-11-06 4 P 0 100 10.11 A 1527733 I By B. Riley Securities, Inc. Class A Common Stock 2020-11-06 4 P 0 300 10.0986 A 1528033 I By B. Riley Securities, Inc. Class A Common Stock 2020-11-06 4 P 0 2785 10.25 A 1530818 I By B. Riley Securities, Inc. Class A Common Stock 2020-11-06 4 P 0 4900 10.0984 A 1535718 I By B. Riley Securities, Inc. Class A Common Stock 2020-11-06 4 P 0 10000 10.10 A 1545718 I By B. Riley Securities, Inc. Class A Common Stock 2020-11-06 4 P 0 48210 10.25 A 1593928 I By B. Riley Securities, Inc. Class A Common Stock 2020-11-06 4 P 0 754002 10.10 A 2347930 I By B. Riley Securities, Inc. Class A Common Stock 2020-11-06 4 S 0 740000 10.25 D 1607930 I By B. Riley Securities, Inc. Class A Common Stock 50000 I By BRC Partners Opportunity Fund, LP Class A Common Stock 650000 I By B. Riley Principal Sponsor Co. II, LLC BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), is a subsidiary of B. Riley Capital Management, LLC, a New York limited liability company and registered investment advisor ("BRCM"), and is the general partner of BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"). B. Riley Financial, Inc., a Delaware corporation ("BRF"), is the parent company of BRCM. As a result, BRF, BRCM and BRPGP may be deemed to indirectly beneficially own the shares held by BRPLP. BRF is the parent company of B. Riley Securities, Inc., a Delaware corporation ("BRS"). As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS. B. Riley Principal Investments, LLC ("BRPI") is the sole member of B. Riley Principal Sponsor Co. II, LLC (the "Sponsor") and is a wholly-owned subsidiary of BRF. BRPI and BRF may be deemed to indirectly beneficially own the shares held by the Sponsor. 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 BRF, BRS, BRPLP and the Sponsor. Each of BRF, BRPGP, BRCM, BRPLP, BRS, BRPI, the Sponsor 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. The reported shares of Class A Common Stock are within the Issuer's public units, as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-237812) (the "Registration Statement"). The reported shares of Class A Common Stock are within 650,000 of the Issuer's Private Placement Units, as described under the heading "Description of Securities " in the Issuer's registration statement on Form S-1 (File No. 333- 237812), purchased by the Reporting Persons for $10.00 per Private Placement Unit. Certain of these transactions are matchable transactions under Section 16(b) of the Exchange Act. The Reporting Persons will disgorge the full amount of any recoverable profits to the Issuer. B. Riley Financial, Inc., by: /s/ Bryant R. Riley, Co-Chief Executive Officer 2020-11-06 B. Riley Principal Sponsor Co. II, LLC, by: /s/ Phillip Ahn, Authorized Signatory 2020-11-06 B. Riley Principal Investments, LLC, by: /s/ Kenneth Young, Chief Executive Officer 2020-11-06 B. Riley Capital Management, LLC, by: /s/ Bryant R. Riley, Chief Executive Officer 2020-11-06 BRC Partners Management GP, LLC, by B. Riley Capital Management, LLC, its sole member, by: /s/ Bryant R. Riley, Chief Executive Officer 2020-11-06 BRC Partners Opportunity Fund, L.P., by: /s/ Bryant R. Riley, Chief Investment Officer 2020-11-06 B. Riley Securities, Inc.., by: /s/ Andrew Moore, Chief Executive Officer 2020-11-06 /s/ Bryant R. Riley 2020-11-06