0001213900-19-015373.txt : 20190812 0001213900-19-015373.hdr.sgml : 20190812 20190812172010 ACCESSION NUMBER: 0001213900-19-015373 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190630 FILED AS OF DATE: 20190812 DATE AS OF CHANGE: 20190812 EFFECTIVENESS DATE: 20190812 FILER: COMPANY DATA: COMPANY CONFORMED NAME: B. Riley Financial, Inc. CENTRAL INDEX KEY: 0001464790 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389] IRS NUMBER: 270223495 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-17148 FILM NUMBER: 191017496 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 COMPANY: FORMER CONFORMED NAME: Great American Group, Inc. DATE OF NAME CHANGE: 20090522 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001464790 XXXXXXXX 06-30-2019 06-30-2019 false B. Riley Financial, Inc.

21255 Burbank Blvd. Suite 400 Woodland Hills CA 91367

13F HOLDINGS REPORT 028-17148 N Michael Markunas 310-689-2220 /s/ Michael Markunas Los Angeles CA 08-12-2019 0 46 208005 INFORMATION TABLE 2 infotable.xml A10 NETWORKS INC COM 002121101 512 75000 SH DFND 75000 0 0 AEHR TEST SYSTEMS COM 00760J108 721 436932 SH DFND 436932 0 0 ANAVEX LIFE SCIENCES CORP COM NEW 032797300 81 24000 SH DFND 24000 0 0 APHRIA INC COM 03765K104 176 25000 SH DFND 25000 0 0 BBX CAP CORP NEW CL A 05491N104 491 100000 SH DFND 100000 0 0 B RILEY PRINCIPAL MERGER COR *W EXP 04/08/202 05586Y114 11 24200 SH DFND 24200 0 0 B RILEY PRINCIPAL MERGER COR UNIT 99/99/9999 05586Y205 4616 462500 SH DFND 462500 0 0 BABCOCK & WILCOX ENTERPRIS I COM 05614L100 3741 10908713 SH DFND 10908713 0 0 CSI COMPRESSCO LP COM UNIT 12637A103 1343 379325 SH DFND 379325 0 0 DESTINATION XL GROUP INC COM 25065K104 48 27000 SH DFND 27000 0 0 FINJAN HLDGS INC COM NEW 31788H303 111 50000 SH DFND 50000 0 0 FINTECH ACQUISITION CORP III UNIT 12/01/2023 31811A309 535 50000 SH DFND 50000 0 0 FRANCESCAS HLDGS CORP COM 351793104 10 20000 SH DFND 20000 0 0 HC2 HLDGS INC COM 404139107 9947 4214730 SH DFND 4214730 0 0 HF FOODS GROUP INC COM 40417F109 313 9000 SH DFND 9000 0 0 HEALTH INS INNOVATIONS INC COM CL A 42225K106 9788 377608 SH DFND 377608 0 0 HESS MIDSTREAM PARTNERS LP UNIT LTD PR INT 428104103 873 44768 SH DFND 44768 0 0 HORIZON GLOBAL CORP NOTE 2.750% 7/0 44052WAA2 71 116000 PRN DFND 116000 0 0 IMMERSION CORP COM 452521107 285 37500 SH DFND 37500 0 0 INDEPENDENCE CONTRACT DRIL I COM 453415309 55 35000 SH DFND 35000 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 54425 350000 SH Put DFND 350000 0 0 KVH INDS INC COM 482738101 272 25000 SH DFND 25000 0 0 LONESTAR RES US INC CL A VTG 54240F103 4543 1983991 SH DFND 1983991 0 0 NATIONAL HOLDINGS CORP COM NEW 636375206 16692 6159550 SH DFND 6159550 0 0 NET 1 UEPS TECHNOLOGIES INC COM NEW 64107N206 2114 528600 SH DFND 528600 0 0 RANGE RES CORP COM 75281A109 2792 400000 SH DFND 400000 0 0 RANGER ENERGY SVCS INC COM CL A 75282U104 5524 686266 SH DFND 686266 0 0 REALNETWORKS INC COM NEW 75605L708 95 50000 SH DFND 50000 0 0 RED ROBIN GOURMET BURGERS IN COM 75689M101 6673 218301 SH DFND 218301 0 0 RUBICON PROJ INC COM 78112V102 3746 589055 SH DFND 589055 0 0 SANOFI RIGHT 12/31/2020 80105N113 126 241405 SH DFND 241405 0 0 SELECT INTERIOR CONCEPTS INC CL A 816120307 35723 3066351 SH DFND 3066351 0 0 SERVICESOURCE INTL INC COM 81763U100 105 110000 SH DFND 110000 0 0 SONIM TECHNOLOGIES INC COM 83548F101 28168 2212743 SH DFND 2212743 0 0 TALLGRASS ENERGY LP CLASS A SHS 874696107 270 12776 SH DFND 12776 0 0 TESLA INC COM 88160R101 3352 15000 SH Put DFND 15000 0 0 THESTREET INC COM NEW 88368Q202 2086 340363 SH DFND 340363 0 0 TIVO CORP COM 88870P106 184 25000 SH DFND 25000 0 0 TRAVELCENTERS AMER LLC COM 894174101 362 100000 SH DFND 100000 0 0 TUESDAY MORNING CORP COM NEW 899035505 505 299000 SH DFND 299000 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 1102 10000 SH Put DFND 10000 0 0 VERB TECHNOLOGY CO INC COM 92337U104 101 50578 SH DFND 50578 0 0 VITAMIN SHOPPE INC COM 92849E101 3964 1006000 SH DFND 1006000 0 0 VITAMIN SHOPPE INC NOTE 2.250%12/0 92849EAB7 176 200000 PRN DFND 200000 0 0 REPLAY ACQUISITION CORP COM G75130107 976 99900 SH DFND 99900 0 0 GLOBAL SHIP LEASE INC NEW COM CL A Y27183600 201 27239 SH DFND 27239 0 0