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