0001213900-21-017989.txt : 20210326
0001213900-21-017989.hdr.sgml : 20210326
20210326161143
ACCESSION NUMBER: 0001213900-21-017989
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210325
FILED AS OF DATE: 20210326
DATE AS OF CHANGE: 20210326
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: 001-36876
FILM NUMBER: 21777455
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 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: 001-36876
FILM NUMBER: 21777460
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: 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: 001-36876
FILM NUMBER: 21777456
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 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: 001-36876
FILM NUMBER: 21777458
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: 001-36876
FILM NUMBER: 21777459
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 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: 001-36876
FILM NUMBER: 21777457
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
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Babcock & Wilcox Enterprises, Inc.
CENTRAL INDEX KEY: 0001630805
STANDARD INDUSTRIAL CLASSIFICATION: HEATING EQUIPMENT, EXCEPT ELECTRIC & WARM AIR FURNACES [3433]
IRS NUMBER: 472783641
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 1200 E. MARKET STREET, SUITE 650
CITY: AKRON
STATE: OH
ZIP: 44305
BUSINESS PHONE: 3308606205
MAIL ADDRESS:
STREET 1: 1200 E. MARKET STREET, SUITE 650
CITY: AKRON
STATE: OH
ZIP: 44305
4
1
ownership.xml
X0306
4
2021-03-25
0
0001630805
Babcock & Wilcox Enterprises, Inc.
BW
0001464790
B. Riley Financial, Inc.
11100 SANTA MONICA BLVD
SUITE 800
LOS ANGELES
CA
90025
1
0
1
0
0001642765
BRC Partners Opportunity Fund, LP
11100 SANTA MONICA BLVD. SUITE 800
LOS ANGELES
CA
90025
1
0
1
0
0001749420
BRC Partners Management GP, LLC
11100 SANTA MONICA BLVD SUITE 800
LOS ANGELES
CA
90025
1
0
1
0
0001658704
B. RILEY CAPITAL MANAGEMENT, LLC
11100 SANTA MONICA BLVD.
SUITE 800
LOS ANGELES
CA
90025
1
0
1
0
0001505748
B. Riley Securities, Inc.
11100 SANTA MONICA BLVD
SUITE 800
LOS ANGELES
CA
90025
1
0
1
0
0001207269
RILEY BRYANT R
11100 SANTA MONICA BLVD., SUITE 800
LOS ANGELES
CA
90025
1
0
1
0
Common Stock, $0.01 par value per share
2021-03-25
4
P
0
10720785
6.04
A
21640014
D
Common Stock, $0.01 par value per share
3405659
I
By B. Riley Securities, Inc.
Common Stock, $0.01 par value per share
2245764
I
By BRC Partners Opportunity Fund, L.P.
Common Stock, $0.01 par value per share
176424
D
Common Stock, $0.01 par value per share
37353
I
Held in Bryant R. Riley's 401(k) account
Common Stock, $0.01 par value per share
33402
I
By Bryant R. Riley, as UTMA custodian for Charlie Riley
Common Stock, $0.01 par value per share
31416
I
By Bryant R. Riley, as UTMA custodian for Susan Riley
Common Stock, $0.01 par value per share
33402
I
By Bryant R. Riley, as UTMA custodian for Abigail Riley
Common Stock, $0.01 par value per share
33404
I
By Bryant R. Riley, as UTMA custodian for Eloise Riley
This Form 4 is being filed jointly by BRF, B. Riley Securities, Inc., a Delaware corporation ("BRS"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company, a registered investment advisor ("BRCM"), 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 BRS. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS.
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 and BRPLP. Each of BRF, BRS, BRPGP, BRCM and BRPLP (collectively, the "B. Riley Entities") 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.
B. RILEY FINANCIAL, INC. /s/ Bryant R. Riley By: Bryant R. Riley Its: Co-Chief Executive Officer
2021-03-26
BRC PARTNERS OPPORTUNITY FUND, LP /s/ Bryant R. Riley By: Bryant R. Riley Its: Chief Investment Officer
2021-03-26
BRC PARTNERS MANAGEMENT GP, LLC By: B. Riley Capital Management, LLC Its: Sole Member /s/ Bryant R. Riley By: Bryant R. Riley Its: Chief Executive Officer
2021-03-26
B. RILEY CAPITAL MANAGEMENT, LLC /s/ Bryant R. Riley By: Bryant R. Riley Its: Chief Executive Officer
2021-03-26
B. RILEY SECURITIES, INC. /s/ Andrew Moore By: Andrew Moore Its: Chief Executive Officer
2021-03-26
Bryant R. Riley /s/ Bryant R. Riley
2021-03-26