0001615774-19-007475.txt : 20190510
0001615774-19-007475.hdr.sgml : 20190510
20190510160141
ACCESSION NUMBER: 0001615774-19-007475
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20190331
FILED AS OF DATE: 20190510
DATE AS OF CHANGE: 20190510
EFFECTIVENESS DATE: 20190510
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: 19814776
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
03-31-2019
03-31-2019
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
05-10-2019
0
87
256862
INFORMATION TABLE
2
infotable.xml
A10 NETWORKS INC
COM
002121101
319
45000
SH
DFND
45000
0
0
AEHR TEST SYSTEMS
COM
00760J108
929
673096
SH
DFND
673096
0
0
AKCEA THERAPEUTICS INC
PUT
00972L957
425
15000
SH
Put
DFND
15000
0
0
ALIBABA GROUP HLDG LTD
PUT
01609W952
10035
55000
SH
Put
DFND
55000
0
0
ALIMERA SCIENCES INC
COM
016259103
303
286000
SH
DFND
286000
0
0
ANAVEX LIFE SCIENCES CORP
COM NEW
032797300
351
115000
SH
DFND
115000
0
0
APHRIA INC
COM
03765K104
311
25000
SH
DFND
25000
0
0
ARCH COAL INC
CL A
039380407
299
3273
SH
DFND
3273
0
0
ARCHROCK INC
COM
03957W106
317
32428
SH
DFND
32428
0
0
AROTECH CORP
COM NEW
042682203
343
117101
SH
DFND
117101
0
0
BBX CAP CORP NEW
CL A
05491N104
592
100000
SH
DFND
100000
0
0
BP MIDSTREAM PARTNERS LP
UNIT LTD PTNR
0556EL109
492
33970
SH
DFND
33970
0
0
BABCOCK & WILCOX ENTERPRIS I
COM
05614L100
4486
10908713
SH
DFND
10908713
0
0
BEAZER HOMES USA INC
COM NEW
07556Q881
139
12116
SH
DFND
12116
0
0
BEIGENE LTD
PUT
07725L952
1980
15000
SH
Put
DFND
15000
0
0
BUILD A BEAR WORKSHOP
COM
120076104
1830
300000
SH
DFND
300000
0
0
CNO FINL GROUP INC
COM
12621E103
320
19800
SH
DFND
19800
0
0
CARTERS INC
COM
146229109
313
3108
SH
DFND
3108
0
0
CENTURY CMNTYS INC
COM
156504300
322
13439
SH
DFND
13439
0
0
CHILDRENS PL INC
COM
168905107
336
3458
SH
DFND
3458
0
0
CLIPPER RLTY INC
COM
18885T306
331
24691
SH
DFND
24691
0
0
CLOUDERA INC
COM
18914U100
164
15000
SH
DFND
15000
0
0
COHU INC
COM
192576106
309
20925
SH
DFND
20925
0
0
CORCEPT THERAPEUTICS INC
PUT
218352952
294
25000
SH
Put
DFND
25000
0
0
DESTINATION XL GROUP INC
COM
25065K104
66
27000
SH
DFND
27000
0
0
FS KKR CAPITAL CORP
COM
302635107
303
50000
SH
DFND
50000
0
0
FIESTA RESTAURANT GROUP INC
COM
31660B101
262
20000
SH
DFND
20000
0
0
FINJAN HLDGS INC
COM NEW
31788H303
147
50000
SH
DFND
50000
0
0
FRANCESCAS HLDGS CORP
COM
351793104
14
20000
SH
DFND
20000
0
0
GRANITE CONSTR INC
COM
387328107
318
7367
SH
DFND
7367
0
0
HC2 HLDGS INC
COM
404139107
10755
4389781
SH
DFND
4389781
0
0
HF FOODS GROUP INC
COM
40417F109
146
11000
SH
DFND
11000
0
0
HEALTH INS INNOVATIONS INC
COM CL A
42225K106
10127
377608
SH
DFND
377608
0
0
HORIZON GLOBAL CORP
NOTE 2.750% 7/0
44052WAA2
61
100000
PRN
DFND
100000
0
0
I D SYSTEMS INC
COM
449489103
593
100052
SH
DFND
100052
0
0
IMMERSION CORP
COM
452521107
169
20000
SH
DFND
20000
0
0
INDUSTRIAL LOGISTICS PPTYS T
COM SHS BEN INT
456237106
319
15803
SH
DFND
15803
0
0
INTERMOLECULAR INC
COM
45882D109
2797
2432592
SH
DFND
2432592
0
0
INVESCO QQQ TR
UNIT SER 1
46090E103
4492
25000
SH
DFND
25000
0
0
INVESCO QQQ TR
PUT
46090E953
44915
250000
SH
Put
DFND
250000
0
0
ISHARES TR
PUT
464287955
30618
200000
SH
Put
DFND
200000
0
0
ITERIS INC
COM
46564T107
4187
1004034
SH
DFND
1004034
0
0
KVH INDS INC
COM
482738101
255
25000
SH
DFND
25000
0
0
KINDRED BIOSCIENCES INC
COM
494577109
183
20000
SH
DFND
20000
0
0
KOPPERS HOLDINGS INC
COM
50060P106
318
12259
SH
DFND
12259
0
0
LEGACY HOUSING CORP
COM
52472M101
7462
627054
SH
DFND
627054
0
0
LIMELIGHT NETWORKS INC
COM
53261M104
329
101740
SH
DFND
101740
0
0
LONESTAR RES US INC
CL A VTG
54240F103
8006
1996539
SH
DFND
1996539
0
0
LUMENTUM HLDGS INC
COM
55024U109
336
5941
SH
DFND
5941
0
0
MASTERCRAFT BOAT HLDGS INC
COM
57637H103
339
15000
SH
DFND
15000
0
0
MATTHEWS INTL CORP
CL A
577128101
338
9145
SH
DFND
9145
0
0
MEDALLION FINL CORP
COM
583928106
86
12500
SH
DFND
12500
0
0
NATIONAL HOLDINGS CORP
COM NEW
636375206
18479
6159550
SH
DFND
6159550
0
0
NET 1 UEPS TECHNOLOGIES INC
COM NEW
64107N206
1550
431893
SH
DFND
431893
0
0
NOVAVAX INC
COM
670002104
72
130332
SH
DFND
130332
0
0
180 DEGREE CAP CORP
COM
68235B109
866
465602
SH
DFND
465602
0
0
PAPA MURPHYS HLDGS INC
COM
698814100
655
125000
SH
DFND
125000
0
0
PREFERRED BK LOS ANGELES CA
COM NEW
740367404
331
7357
SH
DFND
7357
0
0
PROGRESSIVE CORP OHIO
COM
743315103
306
4250
SH
DFND
4250
0
0
RANGER ENERGY SVCS INC
COM CL A
75282U104
7067
886726
SH
DFND
886726
0
0
REALNETWORKS INC
COM NEW
75605L708
156
50000
SH
DFND
50000
0
0
RED ROBIN GOURMET BURGERS IN
COM
75689M101
432
15000
SH
DFND
15000
0
0
REDWOOD TR INC
NOTE 4.750% 8/1
758075AC9
64
67000
PRN
DFND
67000
0
0
ROGERS CORP
COM
775133101
318
2000
SH
DFND
2000
0
0
RUBICON PROJ INC
COM
78112V102
8910
1465523
SH
DFND
1465523
0
0
S&W SEED CO
COM
785135104
324
120989
SH
DFND
120989
0
0
SANOFI
RIGHT 12/31/2020
80105N113
109
241405
SH
DFND
241405
0
0
SEACOAST BKG CORP FLA
COM NEW
811707801
316
12005
SH
DFND
12005
0
0
SELECT INTERIOR CONCEPTS INC
CL A
816120307
38176
3066351
SH
DFND
3066351
0
0
SENSUS HEATLHCARE INC
COM
81728J109
281
40000
SH
DFND
40000
0
0
SERVICESOURCE INTL INC
COM
81763U100
101
110000
SH
DFND
110000
0
0
SOUTHWESTERN ENERGY CO
COM
845467109
309
65859
SH
DFND
65859
0
0
TELENAV INC
COM
879455103
311
51162
SH
DFND
51162
0
0
TEMPUR SEALY INTL INC
COM
88023U101
5521
95736
SH
DFND
95736
0
0
TESLA INC
PUT
88160R951
4198
15000
SH
Put
DFND
15000
0
0
THESTREET INC
COM
88368Q103
8164
3504014
SH
DFND
3504014
0
0
TIVO CORP
COM
88870P106
536
57475
SH
DFND
57475
0
0
TRAVELCENTERS AMER LLC
COM
894174101
631
153514
SH
DFND
153514
0
0
UMH PPTYS INC
COM
903002103
322
22874
SH
DFND
22874
0
0
US XPRESS ENTERPRISES INC
COM CL A
90338N202
322
48651
SH
DFND
48651
0
0
U.S. AUTO PARTS NETWORK INC
COM
90343C100
62
60931
SH
DFND
60931
0
0
VERASTEM INC
COM
92337C104
174
58900
SH
DFND
58900
0
0
VIASAT INC
COM
92552V100
319
4118
SH
DFND
4118
0
0
VITAMIN SHOPPE INC
NOTE 2.250%12/0
92849EAB7
170
191000
PRN
DFND
191000
0
0
WAYFAIR INC
PUT
94419L951
742
5000
SH
Put
DFND
5000
0
0
MALLINCKRODT PUB LTD CO
PUT
G5785G957
2718
125000
SH
Put
DFND
125000
0
0
GLOBAL SHIP LEASE INC NEW
COM CL A
Y27183600
372
64264
SH
DFND
64264
0
0