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