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