Chief Compliance Officer

0001615774-17-002239.txt : 20170511 0001615774-17-002239.hdr.sgml : 20170511 20170511160131 ACCESSION NUMBER: 0001615774-17-002239 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170331 FILED AS OF DATE: 20170511 DATE AS OF CHANGE: 20170511 EFFECTIVENESS DATE: 20170511 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: 17834182 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 03-31-2017 03-31-2017 false B. Riley Financial, Inc.

21255 Burbank Blvd. Suite 400 Woodland Hills CA 91367

13F HOLDINGS REPORT 028-17148 N Michael Markunas Chief Compliance Officer 310-689-2220 /s/ Michael Markunas Los Angeles CA 05-11-2017 1 160 199128 1 0001658704 028-17147 B. RILEY CAPITAL MANAGEMENT, LLC INFORMATION TABLE 2 infotable.xml AETNA INC NEW COM 00817Y108 765 6000 SH DFND 1 0 6000 0 ALPS ETF TR ALERIAN MLP 00162Q866 194 15288 SH DFND 1 0 15288 0 AMC ENTMT HLDGS INC CL A COM 00165C104 523 16621 SH DFND 1 0 16621 0 APOLLO INVT CORP COM 03761U106 316 48206 SH DFND 1 0 48206 0 APOLLO SR FLOATING RATE FD I COM 037636107 737 42018 SH DFND 1 0 42018 0 APOLLO TACTICAL INCOME FD IN COM 037638103 389 23648 SH DFND 1 0 23648 0 APPLE INC COM 037833100 1439 10016 SH DFND 1 0 10016 0 ARES CAP CORP COM 04010L103 1344 77303 SH DFND 1 0 77303 0 ARES DYNAMIC CR ALLOCATION F COM 04014F102 224 13989 SH DFND 1 0 13989 0 ATLANTIC ALLIANCE PARTNER CO SHS G04897107 1224 122381 SH DFND 1 0 122381 0 AVISTA HEALTHCARE PUB ACQ CO CL A G0726L125 985 100000 SH DFND 1 0 100000 0 BAZAARVOICE INC COM 073271108 527 122532 SH DFND 1 0 122532 0 BERKSHIRE HATHAWAY INC DEL CL A 084670108 250 1 SH DFND 1 0 1 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 467 2800 SH DFND 1 0 2800 0 BLACKROCK CAPITAL INVESTMENT COM 092533108 350 46412 SH DFND 1 0 46412 0 BLACKSTONE GSO FLTING RTE FU COM 09256U105 181 10000 SH DFND 1 0 10000 0 BOULEVARD ACQUISITION CL A 10157Q102 2776 277048 SH DFND 1 0 277048 0 BROADWIND ENERGY INC COM NEW 11161T207 1113 133622 SH DFND 1 0 133622 0 BROOKFIELD PPTY PARTNERS L P UNIT LTD PARTN G16249107 230 10345 SH DFND 1 0 10345 0 BROOKFIELD REAL ASSETS INCOM SHS BEN INT 112830104 287 12579 SH DFND 1 0 12579 0 BRT RLTY TR SH BEN INT NEW 055645303 53 49089 SH DFND 1 0 49089 0 CADIZ INC COM NEW 127537207 1839 122213 SH DFND 1 0 122213 0 CADIZ INC COM NEW 127537207 469 31142 SH DFND 0 31142 0 CALAMP CORP COM 128126109 487 28977 SH DFND 1 0 28977 0 CAPITOL ACQUISITION CORP III COM 14055M106 2510 237950 SH DFND 1 0 237950 0 CARBONITE INC COM 141337105 541 26640 SH DFND 1 0 26640 0 CF CORP SHS CL A G20307107 2244 224168 SH DFND 1 0 224168 0 COHEN & STEERS LTD DUR PFD I COM 19248C105 681 26846 SH DFND 1 0 26846 0 COMSTOCK RES INC NOTE 7.750% 4/0 205768AM6 194 229000 PRN DFND 0 229000 0 DICKS SPORTING GOODS INC COM 253393102 526 10804 SH DFND 1 0 10804 0 DIGITAL TURBINE INC COM NEW 25400W102 1430 1521086 SH DFND 1 0 1521086 0 DIGITAL TURBINE INC COM NEW 25400W102 431 458027 SH DFND 0 458027 0 DISNEY WALT CO COM DISNEY 254687106 282 2490 SH DFND 1 0 2490 0 DOUBLELINE INCOME SOLUTIONS COM 258622109 1717 85546 SH DFND 1 0 85546 0 ENERGY TRANSFER EQUITY L P COM UT LTD PTN 29273V100 248 12590 SH DFND 1 0 12590 0 FACEBOOK INC CL A 30303M102 489 3444 SH DFND 1 0 3444 0 FERROGLOBE PLC SHS G33856108 3512 340000 SH DFND 1 0 340000 0 FINISAR CORP COM NEW 31787A507 480 17571 SH DFND 1 0 17571 0 FINTECH ACQUISITION CORP II COM 31810G109 985 100000 SH DFND 1 0 100000 0 FINTECH ACQUISITION CORP II *W EXP 01/19/202 31810G117 58 50000 SH DFND 1 0 50000 0 GARRISON CAP INC COM 366554103 718 73434 SH DFND 1 0 73434 0 GOLDMAN SACHS MLP INC OPP FD COM SHS 38147W103 825 77344 SH DFND 1 0 77344 0 GORES HLDGS II INC COM CL A 382867109 1500 150000 SH DFND 1 0 150000 0 GORES HLDGS II INC *W EXP 03/06/202 382867117 63 50000 SH DFND 1 0 50000 0 GTY TECHNOLOGY HOLDINGS INC CL A G4182A102 2511 250099 SH DFND 1 0 250099 0 GTY TECHNOLOGY HOLDINGS INC *W EXP 99/99/999 G4182A128 65 58333 SH DFND 1 0 58333 0 HC2 HLDGS INC COM 404139107 3983 642348 SH DFND 1 0 642348 0 HC2 HLDGS INC COM 404139107 157 25302 SH DFND 0 25302 0 HEWLETT PACKARD ENTERPRISE C COM 42824C109 1323 55812 SH DFND 1 0 55812 0 HORNBECK OFFSHORE SVCS INC N NOTE 1.500% 9/0 440543AN6 13 20000 PRN DFND 0 20000 0 HP INC COM 40434L105 2406 134548 SH DFND 1 0 134548 0 IMAX CORP COM 45245E109 505 14850 SH DFND 1 0 14850 0 ISHARES MSCI BRZ CAP ETF 464286400 305 8130 SH DFND 1 0 8130 0 ISHARES MIN VOL GBL ETF 464286525 1101 14269 SH DFND 1 0 14269 0 ISHARES TR SELECT DIVID ETF 464287168 1013 11118 SH DFND 1 0 11118 0 ISHARES TR GLOB TELECOM ETF 464287275 13748 100000 SH Put DFND 1 0 100000 0 ISHARES TR LATN AMER 40 ETF 464287390 208 6562 SH DFND 1 0 6562 0 ISHARES TR 1-3 YR CR BD ETF 464288646 1127 10708 SH DFND 1 0 10708 0 ISHARES TR MSCI EMG MKT ETF 464287234 346 8786 SH DFND 1 0 8786 0 ISHARES TR IBOXX INV CP ETF 464287242 1247 10572 SH DFND 1 0 10572 0 ISHARES TR MSCI EAFE ETF 464287465 1337 21458 SH DFND 1 0 21458 0 ISHARES TR RUS MID-CAP ETF 464287499 2993 15987 SH DFND 1 0 15987 0 ISHARES TR CORE S&P MCP ETF 464287507 448 2616 SH DFND 1 0 2616 0 ISHARES TR NASDQ BIOTEC ETF 464287556 620 2114 SH DFND 1 0 2114 0 ISHARES TR RUS 1000 GRW ETF 464287614 234 2053 SH DFND 1 0 2053 0 ISHARES TR RUS 2000 GRW ETF 464287648 391 2416 SH DFND 1 0 2416 0 ISHARES TR MSCI ACWI EX US 464288240 439 10063 SH DFND 1 0 10063 0 ISHARES TR JP MOR EM MK ETF 464288281 1112 9779 SH DFND 1 0 9779 0 ISHARES TR NEW YORK MUN ETF 464288323 1413 12828 SH DFND 1 0 12828 0 ISHARES TR NATIONAL MUN ETF 464288414 929 8529 SH DFND 1 0 8529 0 ISHARES TR INTL SEL DIV ETF 464288448 1725 54842 SH DFND 1 0 54842 0 ISHARES TR GLOBAL MATER ETF 464288695 323 5448 SH DFND 1 0 5448 0 ISHARES TR FLTG RATE BD ETF 46429B655 2713 53335 SH DFND 1 0 53335 0 ISHARES TR MIN VOL EAFE ETF 46429B689 582 8819 SH DFND 1 0 8819 0 ISHARES TR MIN VOL USA ETF 46429B697 1015 21269 SH DFND 1 0 21269 0 ISHARES TR CORE MSCI EAFE 46432F842 595 10275 SH DFND 1 0 10275 0 KAYNE ANDERSON ACQUISITION UNIT 06/30/2022 48661U201 2004 200000 SH DFND 1 0 200000 0 KEMET CORP COM NEW 488360207 6118 509830 SH DFND 1 0 509830 0 KEMET CORP COM NEW 488360207 192 16028 SH DFND 0 16028 0 KRATOS DEFENSE & SEC SOLUTIONS COM NEW 50077B207 1915 246177 SH DFND 1 0 246177 0 KRATOS DEFENSE & SEC SOLUTIONS COM NEW 50077B207 389 50000 SH DFND 0 50000 0 LADENBURG THALMAN FIN SVCS I COM 50575Q102 6 81050 SH DFND 1 0 81050 0 LINDBLAD EXPEDITIONS HLDGS I COM 535219109 171 19100 SH DFND 1 0 19100 0 LUMENTUM HLDGS INC COM 55024U109 501 9389 SH DFND 1 0 9389 0 M I ACQUISITIONS INC COM 55304A104 215 21500 SH DFND 1 0 21500 0 MADDEN STEVEN LTD COM 556269108 495 12853 SH DFND 1 0 12853 0 MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 482 31593 SH DFND 1 0 31593 0 MATLIN & PARTNERS ACQUISITIO UNIT 05/28/2021A 57682V205 1002 100000 SH DFND 1 0 100000 0 MATTEL INC COM 577081102 492 19213 SH DFND 1 0 19213 0 MCBC HLDGS INC COM 55276F107 7688 475425 SH DFND 1 0 475425 0 MCBC HLDGS INC COM 55276F107 1382 85463 SH DFND 0 85463 0 MICROSOFT CORP COM 594918104 2391 36311 SH DFND 1 0 36311 0 MOTORCAR PTS AMER INC COM 620071100 574 18663 SH DFND 1 0 18663 0 NETLIST INC COM 64118P109 771 779000 SH DFND 1 0 779000 0 NETLIST INC COM 64118P109 165 166638 SH DFND 0 166638 0 NETSCOUT SYS INC COM 64115T104 497 13094 SH DFND 1 0 13094 0 NEW MTN FIN CORP COM 647551100 447 30000 SH DFND 1 0 30000 0 NOVAVAX INC COM 670002104 13 10500 SH DFND 1 0 10500 0 NUMEREX CORP PA CL A 67053A102 72 15000 SH DFND 0 15000 0 NUTRI SYS INC NEW COM 67069D108 503 9061 SH DFND 1 0 9061 0 NUVEEN BUILD AMER BD FD COM 67074C103 536 25623 SH DFND 1 0 25623 0 NUVEEN MTG OPPORTUNITY TERM COM 670735109 239 9633 SH DFND 1 0 9633 0 ON SEMICONDUCTOR CORP COM 682189105 725 46829 SH DFND 1 0 46829 0 ONE LIBERTY PPTYS INC COM 682406103 113 15173 SH DFND 1 0 15173 0 OOMA INC COM 683416101 520 52242 SH DFND 1 0 52242 0 PENNANTPARK FLOATING RATE CA COM 70806A106 2558 183503 SH DFND 1 0 183503 0 PENNANTPARK INVT CORP COM 708062104 2788 342555 SH DFND 1 0 342555 0 PFIZER INC COM 717081103 225 6586 SH DFND 1 0 6586 0 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 6527 64214 SH DFND 1 0 64214 0 PIMCO ETF TR LOW DURTN AC ETF 72201R718 1001 9929 SH DFND 1 0 9929 0 PLATFORM SPECIALTY PRODS COR COM 72766Q105 781 60000 SH DFND 1 0 60000 0 POWERSHARES ETF TR II PFD PORTFOLIO 73936T565 487 32842 SH DFND 1 0 32842 0 POWERSHARES ETF TRUST DYN BIOT & GEN 73935X856 258 6102 SH DFND 1 0 6102 0 POWERSHARES ETF TRUST II CEF INC COMPST 73936Q843 204 8830 SH DFND 1 0 8830 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 1073 8108 SH DFND 1 0 8108 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 19857 150000 SH Put DFND 1 0 150000 0 PRESTIGE BRANDS HLDGS INC COM 74112D101 490 8821 SH DFND 1 0 8821 0 PRIMO WTR CORP COM 74165N105 482 35468 SH DFND 1 0 35468 0 PROVIDENT FINL SVCS INC COM 74386T105 323 12500 SH DFND 1 0 12500 0 READING INTERNATIONAL INC CL A 755408101 470 30213 SH DFND 1 0 30213 0 RENT A CTR INC NEW COM 76009N100 200 22500 SH DFND 0 22500 0 S&W SEED CO COM 785135104 480 96933 SH DFND 1 0 96933 0 SCHLUMBERGER LTD COM 806857108 232 2969 SH DFND 1 0 2969 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 303 3440 SH DFND 1 0 3440 0 SILVER RUN ACQUISITION UNIT 99/99/9999 82812A202 522 50000 SH DFND 1 0 50000 0 SKYWORKS SOLUTIONS INC COM 83088M102 495 5047 SH DFND 1 0 5047 0 SOLAR CAP LTD COM 83413U100 215 9530 SH DFND 1 0 9530 0 SOLAR SR CAP LTD COM 83416M105 5047 280706 SH DFND 1 0 280706 0 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 554 2686 SH DFND 1 0 2686 0 SPDR INDEX SHS FDS GLB NAT RESRCE 78463X541 844 19839 SH DFND 1 0 19839 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 1692 7177 SH DFND 1 0 7177 0 SPLUNK INC COM 848637104 472 7579 SH DFND 1 0 7579 0 SUPERIOR 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