0001213900-20-012256.txt : 20200514 0001213900-20-012256.hdr.sgml : 20200514 20200514160535 ACCESSION NUMBER: 0001213900-20-012256 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200331 FILED AS OF DATE: 20200514 DATE AS OF CHANGE: 20200514 EFFECTIVENESS DATE: 20200514 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: 20877722 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 03-31-2020 03-31-2020 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 05-14-2020 0 31 146275 INFORMATION TABLE 2 infotable.xml ALTA EQUIPMENT GROUP INC COMMON STOCK 02128L106 24972 5848317 SH DFND 5848317 0 0 ALTA EQUIPMENT GROUP INC *W EXP 02/14/202 02128L114 1092 1399420 SH DFND 1399420 0 0 B. RILEY FINANCIAL INC COM 05580M108 1453 78882 SH DFND 78882 0 0 BABCOCK & WILCOX ENTERPRIS I COM 05614L209 7050 6911608 SH DFND 6911608 0 0 BENEFYTT TECHNOLOGIES INC COM CL A 08182C106 2449 109362 SH DFND 109362 0 0 EXTREME NETWORKS INC COM 30226D106 4178 1352100 SH DFND 1352100 0 0 FRANCHISE GROUP INC COM 35180X105 35802 4105728 SH DFND 4105728 0 0 GREEN PLAINS INC NOTE4.125% 9/0 393222AF1 8 12000 PRN DFND 12000 0 0 GULF ISLAND FABRICATION INC COM 402307102 1299 433026 SH DFND 433026 0 0 HARTE-HANKS INC COM 416196202 102 65000 SH DFND 65000 0 0 HORIZON GLOBAL CORP NOTE2.750% 7/0 44052WAA2 112 144000 PRN DFND 144000 0 0 INFINERA CORP NOTE2.125% 9/0 45667GAC7 176 210000 PRN DFND 210000 0 0 INTEVAC INC COM 461148108 615 150367 SH DFND 150367 0 0 KVH INDS INC COM 482738101 118 12500 SH DFND 12500 0 0 NATIONAL HOLDINGS CORP COM NEW 636375206 9609 6159550 SH DFND 6159550 0 0 NET 1 UEPS TECHNOLOGIES INC COM NEW 64107N206 2103 722688 SH DFND 722688 0 0 180 DEGREE CAP CORP COM 68235B109 1652 1216354 SH DFND 1216354 0 0 POTBELLY CORP COM 73754Y100 2456 794750 SH DFND 794750 0 0 QUANTUM CORP COM NEW 747906501 23690 8030501 SH DFND 8030501 0 0 RTW RETAILWINDS INC COM 74980D100 148 705546 SH DFND 705546 0 0 RANGER ENERGY SVCS INC COM CL A 75282U104 1491 367163 SH DFND 367163 0 0 REALNETWORKS INC COM NEW 75605L708 136 185895 SH DFND 185895 0 0 RED ROBIN GOURMET BURGERS IN COM 75689M101 1589 186447 SH DFND 186447 0 0 SELECT INTERIOR CONCEPTS INC CL A 816120307 6347 3066351 SH DFND 3066351 0 0 SELECT ENERGY SVCS INC CL A COM 81617J301 1764 546177 SH DFND 546177 0 0 SONIM TECHNOLOGIES INC COM 83548F101 1549 2212743 SH DFND 2212743 0 0 SPARK NETWORKS SE SPONSORED ADR 846517100 699 270740 SH DFND 270740 0 0 SPOK HLDGS INC COM 84863T106 5208 487189 SH DFND 487189 0 0 TENARIS S A SPONSORED ADS 88031M109 180 14921 SH DFND 14921 0 0 WESTERN MIDSTREAM PARTNERS L COM UNIT LP INT 958669103 94 28900 SH DFND 28900 0 0 GLOBAL SHIP LEASE INC NEW COM CL A Y27183600 8137 2199070 SH DFND 2199070 0 0