0001213900-23-086226.txt : 20231113 0001213900-23-086226.hdr.sgml : 20231113 20231113170619 ACCESSION NUMBER: 0001213900-23-086226 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20230930 FILED AS OF DATE: 20231113 DATE AS OF CHANGE: 20231113 EFFECTIVENESS DATE: 20231113 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: 231399928 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 09-30-2023 09-30-2023 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 11-13-2023 1 34 296750241 1 0001505748 028-14034 B. Riley Securities, Inc. INFORMATION TABLE 2 infotable.xml ALTA EQUIPMENT GROUP INC COMMON STOCK 02128L106 29542526 2449629 SH DFND 2449629 0 0 ALTA EQUIPMENT GROUP INC COMMON STOCK 02128L106 13991216 1160134 SH DFND 1 1160134 0 0 THE ARENA GROUP HOLDINGS INC COM 040044109 22783647 5323282 SH DFND 5323282 0 0 THE ARENA GROUP HOLDINGS INC COM 040044109 1554693 363246 SH DFND 1 363246 0 0 THE ARENA GROUP HOLDINGS INC COM 040044109 125584 29342 SH DFND 29342 0 0 BABCOCK & WILCOX ENTERPRISES COM 05614L209 83543973 19844174 SH DFND 19844174 0 0 BABCOCK & WILCOX ENTERPRISES COM 05614L209 31341198 7444465 SH DFND 1 7444465 0 0 CADIZ INC COM NEW 127537207 4454677 1345824 SH DFND 1 1345824 0 0 DIREXION SHS ETF TR DLY S&P500 BR 3X 25460E265 14202000 900000 SH DFND 1 900000 0 0 DOUBLEDOWN INTERACTIVE CO LT ADS 25862B109 32236915 3801523 SH DFND 3801523 0 0 DOUBLEDOWN INTERACTIVE CO LT ADS 25862B109 2063633 243353 SH DFND 1 243353 0 0 EOS ENERGY ENTERPRISES INC *W EXP 05/06/202 29415C119 115248 274400 SH DFND 274400 0 0 FAZE HOLDINGS INC COMMON STOCK 31423J102 1874786 11028151 SH DFND 11028151 0 0 FAZE HOLDINGS INC *W EXP 03/01/202 31423J110 3120 156001 SH DFND 156001 0 0 IPERIONX LTD SPONSORED ADS 44916E100 3689622 377652 SH DFND 1 377652 0 0 INSEEGO CORP NOTE 3.250% 5/0 45782BAD6 36540 87000 SH DFND 1 87000 0 0 JOURNEY MED CORP COM 48115J109 1177090 429595 SH DFND 1 429595 0 0 LANDSEA HOMES CORP COM 51509P103 7792981 866850 SH DFND 1 866850 0 0 LAZYDAYS HLDGS INC COM 52110H100 570000 75000 SH DFND 1 75000 0 0 THE LION ELECTRIC COMPANY *W EXP 12/16/202 536221120 727483 1399006 SH DFND 1 1399006 0 0 MARCHEX INC CL B 56624R108 2755000 1900000 SH DFND 1900000 0 0 MARCHEX INC CL B 56624R108 207047 142791 SH DFND 1 142791 0 0 NEXTNAV INC *W EXP 10/28/202 65345N114 19968 15974 SH DFND 1 15974 0 0 NEXTNAV INC *W EXP 10/28/202 65345N114 807195 645756 SH DFND 645756 0 0 PERPETUA RESOURCES CORP COM 714266103 4778348 1465751 SH DFND 1 1465751 0 0 PROSHARES TR ULTRAPRO SHT QQQ 74347G432 8176000 400000 SH DFND 1 400000 0 0 QUANTUM CORP COM NEW 747906501 1217135 1995303 SH DFND 1 1995303 0 0 SYNCHRONOSS TECHNOLOGIES INC COM 87157B103 10176000 10600000 SH DFND 10600000 0 0 SYNCHRONOSS TECHNOLOGIES INC COM 87157B103 1421279 1480499 SH DFND 1 1480499 0 0 TRANSACT TECHNOLOGIES INC COM 892918103 5136000 800000 SH DFND 800000 0 0 TRANSACT TECHNOLOGIES INC COM 892918103 2007104 312633 SH DFND 1 312633 0 0 FERROGLOBE PLC SHS G33856108 2338268 449667 SH DFND 1 449667 0 0 ALTISOURCE PORTFOLIO SOLNS S REG SHS L0175J104 2786736 698430 SH DFND 1 698430 0 0 LILIUM N V CLASS A ORD SHS N52586109 3097229 4349053 SH DFND 1 4349053 0 0