0001213900-20-001022.txt : 20200114
0001213900-20-001022.hdr.sgml : 20200114
20200114183544
ACCESSION NUMBER: 0001213900-20-001022
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200109
FILED AS OF DATE: 20200114
DATE AS OF CHANGE: 20200114
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: 001-38864
FILM NUMBER: 20526993
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: B. Riley Principal Sponsor Co., LLC
CENTRAL INDEX KEY: 0001772457
STATE OF INCORPORATION: DE
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38864
FILM NUMBER: 20526994
BUSINESS ADDRESS:
STREET 1: 299 PARK AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10171
BUSINESS PHONE: 212-457-3300
MAIL ADDRESS:
STREET 1: 299 PARK AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10171
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: 001-38864
FILM NUMBER: 20526995
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
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: B. Riley Principal Merger Corp.
CENTRAL INDEX KEY: 0001759824
STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-INDUSTRIAL MACHINERY & EQUIPMENT [5084]
IRS NUMBER: 832583782
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 299 PARK AVENUE, 7TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10171
BUSINESS PHONE: 212 457 3300
MAIL ADDRESS:
STREET 1: 299 PARK AVENUE, 7TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10171
4
1
ownership.xml
OWNERSHIP DOCUMENT
X0306
4
2020-01-09
0
0001759824
B. Riley Principal Merger Corp.
BRPM
0001464790
B. Riley Financial, Inc.
21255 BURBANK BOULEVARD, SUITE 400
WOODLAND HILLS
CA
91367
0
0
1
0
0001772457
B. Riley Principal Sponsor Co., LLC
299 PARK AVENUE, 21ST FLOOR
NEW YORK
NY
10171
0
0
1
0
0001505748
B. Riley FBR, Inc.
11100 SANTA MONICA
SUITE 800
LOS ANGELES
CA
90025
0
0
1
0
Class A Common Stock
2020-01-09
4
S
0
6
10.12
D
0
I
See notes
Class A Common Stock
2020-01-10
4
S
0
126571
10.12
D
0
I
See notes
Class A Common Stock
2020-01-10
4
S
0
27600
10.13
D
0
I
See notes
Class A Common Stock
2020-01-10
4
P
0
94151
10.14
A
0
I
See notes
Class A Common Stock
2020-01-13
4
S
0
10000
10.14
D
0
I
See notes
Class A Common Stock
2020-01-13
4
P
0
69602
10.14
A
0
I
See notes
Class A Common Stock
2020-01-13
4
S
0
350000
10.15
D
0
I
See notes
Class A Common Stock
2020-01-13
4
P
0
146097
10.15
A
0
I
See notes
Class A Common Stock
2020-01-13
4
S
0
10000
10.16
D
0
I
See notes
Class A Common Stock
2020-01-14
4
P
0
183927
10.18
A
0
I
See notes
Class A Common Stock
2020-01-14
4
S
0
19600
10.18
D
0
I
See notes
In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor") and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of B. Riley Principal Merger Corp, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein.
The shares of the Issuer purchased or sold in the listed transactions were held directly by BRFBR. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor.
BRFBR is a FINRA registered broker dealer and market maker. The transactions reported herein reflect executions in which BRFBR had no direct or indirect beneficial interest. Such transactions were executed in furtherance of BRFBR's bona-fide market making activities. As part of its bona-fide market making activities, BRFBR may hold long or short positions overnight.
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
2019-01-14
B. Riley Principal Sponsor Co., LLC, by: /s/ Bryant R. Riley, Authorized Signer
2019-01-14
B. Riley FBR, Inc., by: /s/ Andrew Moore, Chief Executive Officer
2019-01-14