0001213900-20-002682.txt : 20200205 0001213900-20-002682.hdr.sgml : 20200205 20200205160851 ACCESSION NUMBER: 0001213900-20-002682 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200205 DATE AS OF CHANGE: 20200205 EFFECTIVENESS DATE: 20200205 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: 20578817 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 12-31-2019 12-31-2019 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 02-05-2020 1 44 397820 1 0001505748 028-14034 B. Riley FBR, Inc. INFORMATION TABLE 2 infotable.xml A10 NETWORKS INC COM 002121101 344 50000 SH DFND 1 50000 0 0 AEHR TEST SYSTEMS COM 00760J108 314 157011 SH DFND 157011 0 0 B RILEY PRINCIPAL MERGER COR CL A 05586Y106 250 25000 SH DFND 1 25000 0 0 B RILEY PRINCIPAL MERGER COR *W EXP 04/08/202 05586Y114 20 24200 SH DFND 1 24200 0 0 B RILEY PRINCIPAL MERGER COR UNIT 99/99/9999 05586Y205 4630 462500 SH DFND 462500 0 0 BABCOCK & WILCOX ENTERPRIS I COM 05614L209 18390 5052185 SH DFND 5052185 0 0 BABCOCK & WILCOX ENTERPRIS I COM 05614L209 6768 1859423 SH DFND 1 1859423 0 0 BROADMARK RLTY CAP INC *W EXP 11/15/202 11135B118 209 550000 SH DFND 1 550000 0 0 CHURCHILL CAP CORP II CL A 17143G106 512 49543 SH DFND 1 49543 0 0 DESTINATION XL GROUP INC COM 25065K104 35 27000 SH DFND 1 27000 0 0 EAGLE PT CR CO LLC COM 269808101 3068 210000 SH DFND 1 210000 0 0 EMCORE CORP COM NEW 290846203 304 100000 SH DFND 1 100000 0 0 FIESTA RESTAURANT GROUP INC COM 31660B101 495 50000 SH DFND 1 50000 0 0 FINJAN HLDGS INC COM NEW 31788H303 101 50000 SH DFND 1 50000 0 0 FLOTEK INDS INC DEL COM 343389102 350 175000 SH DFND 1 175000 0 0 FRANCHISE GROUP INC COM 35180X105 61024 2630353 SH DFND 2630353 0 0 FRANCHISE GROUP INC COM 35180X105 34229 1475375 SH DFND 1 1475375 0 0 HC2 HLDGS INC COM 404139107 7539 3474197 SH DFND 1 3474197 0 0 HC2 HLDGS INC COM 404139107 1490 686858 SH DFND 686858 0 0 HARTE-HANKS INC COM 416196202 233 65000 SH DFND 1 65000 0 0 HEALTH INS INNOVATIONS INC COM CL A 42225K106 5447 282362 SH DFND 282362 0 0 HEALTH INS INNOVATIONS INC COM CL A 42225K106 1837 95246 SH DFND 1 95246 0 0 HIGHLAND INCOME FUND HIGHLAND INCOME 43010E404 249 20000 SH DFND 1 20000 0 0 HORIZON GLOBAL CORP NOTE 2.750% 7/0 44052WAA2 105 132000 PRN DFND 1 132000 0 0 IMMERSION CORP COM 452521107 650 87500 SH DFND 1 87500 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 48044 290000 SH Put DFND 290000 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 117626 710000 SH Put DFND 1 710000 0 0 LEISURE ACQUISITION CORP COM 52539T107 521 50000 SH DFND 1 50000 0 0 LONESTAR RES US INC CL A VTG 54240F103 1515 580640 SH DFND 580640 0 0 NATIONAL HOLDINGS CORP COM NEW 636375206 15707 6159550 SH DFND 6159550 0 0 NET 1 UEPS TECHNOLOGIES INC COM NEW 64107N206 513 137985 SH DFND 137985 0 0 180 DEGREE CAP CORP COM 68235B109 2967 1379915 SH DFND 1 1379915 0 0 POTBELLY CORP COM 73754Y100 1899 450000 SH DFND 450000 0 0 RTW RETAILWINDS INC COM 74980D100 584 729452 SH DFND 1 729452 0 0 RANGER ENERGY SVCS INC COM CL A 75282U104 3156 490111 SH DFND 490111 0 0 REALNETWORKS INC COM NEW 75605L708 180 150000 SH DFND 1 150000 0 0 SELECT INTERIOR CONCEPTS INC CL A 816120307 24834 2762457 SH DFND 1 2762457 0 0 SELECT INTERIOR CONCEPTS INC CL A 816120307 2732 303894 SH DFND 303894 0 0 SONIM TECHNOLOGIES INC COM 83548F101 8032 2212743 SH DFND 2212743 0 0 TUESDAY MORNING CORP COM NEW 899035505 1645 889276 SH DFND 889276 0 0 VECTOIQ ACQUISITION CORP COM 92243N103 568 55000 SH DFND 1 55000 0 0 COLLIER CREEK HOLDINGS COM CL A G22707106 257 25000 SH DFND 1 25000 0 0 GLOBAL SHIP LEASE INC NEW COM CL A Y27183600 15403 1744399 SH DFND 1 1744399 0 0 GLOBAL SHIP LEASE INC NEW COM CL A Y27183600 3045 344827 SH DFND 344827 0 0