0001213900-20-010320.txt : 20200428
0001213900-20-010320.hdr.sgml : 20200428
20200428194756
ACCESSION NUMBER: 0001213900-20-010320
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200424
FILED AS OF DATE: 20200428
DATE AS OF CHANGE: 20200428
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: 001-35588
FILM NUMBER: 20826870
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
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: 001-35588
FILM NUMBER: 20826871
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: 001-35588
FILM NUMBER: 20826872
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: 001-35588
FILM NUMBER: 20826873
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 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: 001-35588
FILM NUMBER: 20826874
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: Dialectic Antithesis Partners, LP
CENTRAL INDEX KEY: 0001325552
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35588
FILM NUMBER: 20826875
BUSINESS ADDRESS:
STREET 1: 119 ROWAYTON AVENUE
STREET 2: 2ND FLOOR
CITY: NORWALK
STATE: CT
ZIP: 06853
BUSINESS PHONE: 212-230-3220
MAIL ADDRESS:
STREET 1: 119 ROWAYTON AVENUE
STREET 2: 2ND FLOOR
CITY: NORWALK
STATE: CT
ZIP: 06853
FORMER NAME:
FORMER CONFORMED NAME: DIALECTIC ANTITHESIS PARTNERS, LP
DATE OF NAME CHANGE: 20081028
FORMER NAME:
FORMER CONFORMED NAME: Dialectic Antithesis Partners L P
DATE OF NAME CHANGE: 20050429
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BR Dialectic Capital Management, LLC
CENTRAL INDEX KEY: 0001704985
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35588
FILM NUMBER: 20826876
BUSINESS ADDRESS:
STREET 1: 11100 SANTA MONICA BLVD., SUITE 800
CITY: LOS ANGELES
STATE: CA
ZIP: 90025
BUSINESS PHONE: 310-966-1444
MAIL ADDRESS:
STREET 1: 11100 SANTA MONICA BLVD., SUITE 800
CITY: LOS ANGELES
STATE: CA
ZIP: 90025
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Franchise Group, Inc.
CENTRAL INDEX KEY: 0001528930
STANDARD INDUSTRIAL CLASSIFICATION: PATENT OWNERS & LESSORS [6794]
IRS NUMBER: 273561876
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1228
BUSINESS ADDRESS:
STREET 1: 1716 CORPORATE LANDING PARKWAY
CITY: VIRGINIA BEACH
STATE: VA
ZIP: 23454
BUSINESS PHONE: 757-493-8855
MAIL ADDRESS:
STREET 1: 1716 CORPORATE LANDING PARKWAY
CITY: VIRGINIA BEACH
STATE: VA
ZIP: 23454
FORMER COMPANY:
FORMER CONFORMED NAME: Liberty Tax, Inc.
DATE OF NAME CHANGE: 20140714
FORMER COMPANY:
FORMER CONFORMED NAME: JTH Holding, Inc.
DATE OF NAME CHANGE: 20110830
4
1
ownership.xml
X0306
4
2020-04-24
0
0001528930
Franchise Group, Inc.
FRG
0001464790
B. Riley Financial, Inc.
21255 BURBANK BOULEVARD, SUITE 400
WOODLAND HILLS
CA
91367
0
0
1
0
0001642765
BRC Partners Opportunity Fund, LP
11100 SANTA MONICA BLVD., SUITE 800
LOS ANGELES,
CA
90025
0
0
0
1
See Footnote 1
0001749420
BRC Partners Management GP, LLC
11100 SANTA MONICA BLVD., SUITE 800
LOS ANGELES,
CA
90025
0
0
0
1
See Footnote 1
0001658704
B. RILEY CAPITAL MANAGEMENT, LLC
11100 SANTA MONICA BLVD., SUITE 800
LOS ANGELES,
CA
90025
0
0
0
1
See Footnote 1
0001505748
B. Riley FBR, Inc.
11100 SANTA MONICA BLVD., SUITE 800
LOS ANGELES,
CA
90025
0
0
0
1
See Footnote 1
0001325552
Dialectic Antithesis Partners, LP
119 ROWAYTON AVENUE, 2ND FLOOR
NORWALK
CT
06853
0
0
0
1
See Footnote 1
0001704985
BR Dialectic Capital Management, LLC
119 ROWAYTON AVENUE, 2ND FLOOR
NORWALK
CT
06853
0
0
0
1
See Footnote 1
Common Stock
2020-04-24
4
S
0
150000
10.00
D
0
I
By Dialectic Antithesis Partners, LP
Common Stock
651471
I
By BRC Partners Opportunity Fund, L.P.
Common Stock
1815638
I
By B. Riley FBR, Inc.
Common Stock
2005353
D
This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), 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 FBR, Inc., a Delaware corporation ("BRFBR"), Dialectic Antithesis Partners, LP, a Delaware limited partnership ("Dialectic"), and BR Dialectic Capital Management, LLC, a Delaware limited liability company ("BR Dialectic") (collectively, the "Filing Persons"). Each of the Filing Persons may be deemed to be a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock ("Common Stock"). Each of the Filing Persons disclaims beneficial ownership of the shares of Common Stock of the Issuer reported herein except to the extent of its pecuniary interest therein.
BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM and BRFBR. BR Dialectic is the general partner and investment manager of Dialectic. BRCM is the parent company of BR Dialectic.
By virtue of the relationships discussed in Footnote 2, each of BR Dialectic, BRCM and BRF may have been deemed to beneficially own the shares of Common Stock previously owned directly by Dialectic.
By virtue of the relationships discussed in Footnote 2, each of BRPGP, BRCM and BRF may be deemed to beneficially own the shares of Common Stock owned directly by BRPLP.
By virtue of the relationships discussed in Footnote 2, BRF may be deemed to beneficially own the shares of Common Stock owned directly by BRFBR.
B. Riley Financial, Inc., by: /s/ Bryant R. Riley, Co-Chief Executive Officer
2020-04-28
BRC Partners Opportunity Fund, L.P., by: /s/ Bryant R. Riley, Chief Investment Officer
2020-04-28
BRC Partners Management GP, LLC, by B. Riley Capital Management, LLC, its sole member, by: /s/ Bryant R. Riley, Chief Executive Officer
2020-04-28
B. Riley Capital Management, LLC, by: /s/ Bryant R. Riley, Chief Executive Officer
2020-04-28
B. Riley FBR, Inc., by: /s/ Andy Moore, Chief Executive Officer
2020-04-28
Dialectic Antithesis Partners, LP, by: /s/ John Fichthorn, Portfolio Manager
2020-04-28
BR Dialectic Capital Management, LLC, by: B. Riley Capital Management, LLC, its sole member, by: /s/ Bryant R. Riley, Chief Executive Officer
2020-04-28