0001213900-23-009039.txt : 20230208 0001213900-23-009039.hdr.sgml : 20230208 20230207180158 ACCESSION NUMBER: 0001213900-23-009039 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20221231 FILED AS OF DATE: 20230208 DATE AS OF CHANGE: 20230207 EFFECTIVENESS DATE: 20230208 FILER: COMPANY DATA: COMPANY CONFORMED NAME: B. Riley Financial, Inc. CENTRAL INDEX KEY: 0001464790 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] 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: 23596410 BUSINESS ADDRESS: STREET 1: 11100 SANTA MONICA BLVD STREET 2: SUITE 800 CITY: LOS ANGELES STATE: CA ZIP: 90025 BUSINESS PHONE: 818-884-3737 MAIL ADDRESS: STREET 1: 11100 SANTA MONICA BLVD STREET 2: SUITE 800 CITY: LOS ANGELES STATE: CA ZIP: 90025 FORMER COMPANY: FORMER CONFORMED NAME: Great American Group, Inc. DATE OF NAME CHANGE: 20090522 13F-HR 1 primary_doc.xml X0202 13F-HR LIVE false false false 0001464790 XXXXXXXX 12-31-2022 12-31-2022 false B. Riley Financial, Inc.

11100 Santa Monica Blvd Suite 800 Los Angeles CA 90025

13F HOLDINGS REPORT 028-17148 N Bryant R. Riley 310-966-1444 /s/ Bryant R. Riley Los Angeles CA 02-07-2023 1 73 459667518 1 0001505748 028-14034 B. Riley Securities, Inc. INFORMATION TABLE 2 infotable.xml AST SPACEMOBILE INC COM CL A 00217D100 8316770 1725471 SH DFND 1 1725471 0 0 ALGOMA STL GROUP INC *W EXP 10/19/202 015658115 23971 20754 SH DFND 1 20754 0 0 ALTA EQUIPMENT GROUP INC COMMON STOCK 02128L106 65681306 4979629 SH DFND 4979629 0 0 ALTA EQUIPMENT GROUP INC COMMON STOCK 02128L106 13468757 1021134 SH DFND 1 1021134 0 0 THE ARENA GROUP HOLDINGS INC COM 040044109 36429774 3433532 SH DFND 3433532 0 0 THE ARENA GROUP HOLDINGS INC COM 040044109 12299759 1159261 SH DFND 1 1159261 0 0 ARROWROOT ACQUISITION CORP *W EXP 03/02/202 04282M110 249 42940 SH DFND 1 42940 0 0 AVAYA HLDGS CORP NOTE 2.250% 6/1 05351XAB7 22500 600000 SH DFND 1 600000 0 0 B RILEY PRIN 250 MERGER CORP UNIT 04/06/2026 05602L203 5982000 600000 SH DFND 600000 0 0 BABCOCK & WILCOX ENTERPRISES COM 05614L209 88028505 15256240 SH DFND 15256240 0 0 BABCOCK & WILCOX ENTERPRISES COM 05614L209 69426942 12032399 SH DFND 1 12032399 0 0 BEYOND MEAT INC NOTE 3/1 08862EAB5 7590 30000 SH DFND 1 30000 0 0 CHARAH SOLUTIONS INC COM 15957P105 15600001 2888889 SH DFND 1 2888889 0 0 CHEGG INC NOTE 0.125% 3/1 163092AD1 46538 51000 SH DFND 1 51000 0 0 CHEGG INC NOTE 9/0 163092AF6 21179 27000 SH DFND 1 27000 0 0 COLOMBIER ACQUISITION CORP *W EXP 99/99/999 19533H116 11106 146714 SH DFND 1 146714 0 0 D AND Z MEDIA ACQUISITION CO *W EXP 01/27/202 23305Q114 5140 100000 SH DFND 1 100000 0 0 DEEP MEDICINE ACQUISITION CO RIGHT 09/30/2028 243733110 2856 47599 SH DFND 1 47599 0 0 DOUBLEDOWN INTERACTIVE CO LT ADS 25862B109 32122869 3801523 SH DFND 3801523 0 0 DOUBLEDOWN INTERACTIVE CO LT ADS 25862B109 631164 74694 SH DFND 1 74694 0 0 EOS ENERGY ENTERPRISES INC *W EXP 05/06/202 29415C119 78000 325000 SH DFND 325000 0 0 EPIPHANY TECHNOLOGY ACQUISIT COM CL A 29429X109 733006 73264 SH DFND 1 73264 0 0 FAZE HOLDINGS INC COMMON STOCK 31423J102 20402079 11028151 SH DFND 11028151 0 0 FAZE HOLDINGS INC *W EXP 03/01/202 31423J110 20280 156001 SH DFND 156001 0 0 GARRETT MOTION INC PFD CONV SER A 366505204 261000 30000 SH DFND 1 30000 0 0 HARROW HEALTH INC COM 415858109 2299977 155825 SH DFND 1 155825 0 0 IMEDIA BRANDS INC COM CL A 452465206 58823 91911 SH DFND 1 91911 0 0 INSEEGO CORP NOTE 3.250% 5/0 45782BAD6 10800 18000 SH DFND 1 18000 0 0 INNOVATE CORP COM 45784J105 42830 22904 SH DFND 22904 0 0 INNOVATE CORP COM 45784J105 5261595 2813687 SH DFND 1 2813687 0 0 JOURNEY MED CORP COM 48115J109 1660214 864695 SH DFND 1 864695 0 0 KLUDEIN I ACQUISITION CORP CL A 49878L109 2069391 202089 SH DFND 1 202089 0 0 LAZYDAYS HLDGS INC COM 52110H100 3361194 281507 SH DFND 1 281507 0 0 LIBERTY LATIN AMERICA LTD NOTE 2.000% 7/1 53069QAB5 33725 38000 SH DFND 1 38000 0 0 LIFEMD INC COM 53216B104 2098521 1081712 SH DFND 1 1081712 0 0 THE LION ELECTRIC COMPANY COMMON STOCK 536221104 1029284 459502 SH DFND 1 459502 0 0 THE LION ELECTRIC COMPANY *W EXP 12/16/202 536221120 482829 689755 SH DFND 1 689755 0 0 LOGISTICS INNOVTN TECHNLGS C *W EXP 06/15/202 54141L118 373 12432 SH DFND 1 12432 0 0 MSP RECOVERY INC *W EXP 05/20/202 553745126 1510 60146 SH DFND 1 60146 0 0 MARCHEX INC CL B 56624R108 4827994 3017496 SH DFND 1 3017496 0 0 MINIM INC COM 60365W102 294288 1565364 SH DFND 1 1565364 0 0 NEOGENOMICS INC NOTE 0.250% 1/1 64049MAB6 21328 33000 SH DFND 1 33000 0 0 NEXTNAV INC COMMON STOCK 65345N106 1666924 568916 SH DFND 568916 0 0 NEXTNAV INC COMMON STOCK 65345N106 7377377 2517876 SH DFND 1 2517876 0 0 NEXTNAV INC *W EXP 10/28/202 65345N114 20850 55974 SH DFND 1 55974 0 0 NUSTAR ENERGY LP UNIT COM 67058H102 224000 14000 SH DFND 1 14000 0 0 PELOTON INTERACTIVE INC NOTE 2/1 70614WAB6 354410 500000 SH DFND 1 500000 0 0 PERPETUA RESOURCES CORP COM 714266103 7389472 2530641 SH DFND 1 2530641 0 0 PLAYAGS INC COM 72814N104 4286703 840530 SH DFND 1 840530 0 0 QUANTUM CORP COM NEW 747906501 4169044 3824811 SH DFND 1 3824811 0 0 RUMBLEON INC COM CL B 781386305 404511 62521 SH DFND 1 62521 0 0 SEAPORT GLOBAL ACQUISITION I CLASS A COM 81221H105 764250 75000 SH DFND 1 75000 0 0 SEQUANS COMMUNICATIONS S A SPONSORED ADS 817323207 1242663 374296 SH DFND 1 374296 0 0 SHOPIFY INC NOTE 0.125%11/0 82509LAA5 102450 120000 SH DFND 1 120000 0 0 SORRENTO THERAPEUTICS INC COM NEW 83587F202 4621598 5216250 SH DFND 1 5216250 0 0 SYNCHRONOSS TECHNOLOGIES INC COM 87157B103 4555147 7369596 SH DFND 7369596 0 0 SYNCHRONOSS TECHNOLOGIES INC COM 87157B103 2919789 4710903 SH DFND 1 4710903 0 0 TEEKAY CORPORATION NOTE 5.000% 1/1 87900YAE3 15002 15000 SH DFND 1 15000 0 0 TRANSACT TECHNOLOGIES INC COM 892918103 7031841 1112633 SH DFND 1 1112633 0 0 WAYFAIR INC NOTE 1.000% 8/1 94419LAF8 23785 42000 SH DFND 1 42000 0 0 YOTTA ACQUISITION CORPORATIO *W EXP 03/15/202 98741Y111 3000 100000 SH DFND 1 100000 0 0 YOTTA ACQUISITION CORPORATIO RIGHT 03/15/2027 98741Y129 13214 81368 SH DFND 1 81368 0 0 ALSP ORCHID ACQUISITION CORP *W EXP 11/03/202 G0231L123 1104 36800 SH DFND 1 36800 0 0 BLUE SAFARI GRP ACQUISITN CO RIGHT 09/24/2026 G1195R130 1218 10339 SH DFND 1 10339 0 0 BLUERIVER ACQUISITION CORP *W EXP 01/04/202 G1261Q115 150 10000 SH DFND 1 10000 0 0 ECARX HOLDINGS INC *W EXP 12/20/202 G29201111 4272 43550 SH DFND 1 43550 0 0 ARES ACQUISITION CORPORATION COM CL A G33032106 824834 81910 SH DFND 1 81910 0 0 GENIUS SPORTS LIMITED SHARES CL A G3934V109 71000 19888 SH DFND 1 19888 0 0 INFINT ACQUISITION CORP *W EXP 99/99/999 G47862126 8000 100000 SH DFND 1 100000 0 0 KISMET ACQUISITION TWO CORP *W EXP 06/30/202 G52807115 90 29909 SH DFND 1 29909 0 0 SWVL HOLDINGS CORP CLASS A COM G86302109 2740 20000 SH DFND 20000 0 0 VAHANNA TECH EDGE ACQSTN I C *W EXP 11/30/202 G9320Z117 1677 159670 SH DFND 1 159670 0 0 LILIUM N V CLASS A ORD SHS N52586109 18388386 16130163 SH DFND 1 16130163 0 0