0001213900-23-092321.txt : 20231204
0001213900-23-092321.hdr.sgml : 20231204
20231204070011
ACCESSION NUMBER: 0001213900-23-092321
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20231130
FILED AS OF DATE: 20231204
DATE AS OF CHANGE: 20231204
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: B. Riley Financial, Inc.
CENTRAL INDEX KEY: 0001464790
STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282]
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-12471
FILM NUMBER: 231461283
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 NAME:
FORMER CONFORMED NAME: Great American Group, Inc.
DATE OF NAME CHANGE: 20090522
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: RILEY BRYANT R
CENTRAL INDEX KEY: 0001207269
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-12471
FILM NUMBER: 231461279
MAIL ADDRESS:
STREET 1: C/O B. RILEY FINANCIAL, INC.
STREET 2: 21255 BURBANK BLVD, SUITE 400
CITY: WOODLAND HILLS
STATE: CA
ZIP: 91367
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BRF Investments, LLC
CENTRAL INDEX KEY: 0001880803
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-12471
FILM NUMBER: 231461280
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: B. Riley Securities, Inc.
CENTRAL INDEX KEY: 0001505748
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-12471
FILM NUMBER: 231461282
BUSINESS ADDRESS:
STREET 1: 11100 SANTA MONICA BLVD
STREET 2: SUITE 800
CITY: LOS ANGELES
STATE: CA
ZIP: 90025
BUSINESS PHONE: 310-966-1444
MAIL ADDRESS:
STREET 1: 11100 SANTA MONICA BLVD
STREET 2: SUITE 800
CITY: LOS ANGELES
STATE: CA
ZIP: 90025
FORMER NAME:
FORMER CONFORMED NAME: B. Riley FBR, Inc.
DATE OF NAME CHANGE: 20180830
FORMER NAME:
FORMER CONFORMED NAME: FBR Capital Markets & Co
DATE OF NAME CHANGE: 20101115
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: B. RILEY PRINCIPAL INVESTMENTS, LLC
CENTRAL INDEX KEY: 0001776226
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-12471
FILM NUMBER: 231461281
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
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Arena Group Holdings, Inc.
CENTRAL INDEX KEY: 0000894871
STANDARD INDUSTRIAL CLASSIFICATION: CABLE & OTHER PAY TELEVISION SERVICES [4841]
IRS NUMBER: 680232575
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 200 VESEY STREET
STREET 2: 24TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10281
BUSINESS PHONE: 212 321 5002
MAIL ADDRESS:
STREET 1: 200 VESEY STREET
STREET 2: 24TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10281
FORMER COMPANY:
FORMER CONFORMED NAME: theMaven, Inc.
DATE OF NAME CHANGE: 20161228
FORMER COMPANY:
FORMER CONFORMED NAME: THEMAVEN, INC.
DATE OF NAME CHANGE: 20161209
FORMER COMPANY:
FORMER CONFORMED NAME: INTEGRATED SURGICAL SYSTEMS INC
DATE OF NAME CHANGE: 19960725
4
1
ownership.xml
X0508
4
2023-11-30
1
0000894871
Arena Group Holdings, Inc.
AREN
0001464790
B. Riley Financial, Inc.
11100 SANTA MONICA BLVD
SUITE 800
LOS ANGELES
CA
90025
0
0
1
0
0001505748
B. Riley Securities, Inc.
11100 SANTA MONICA BLVD
SUITE 800
LOS ANGELES
CA
90025
0
0
1
0
0001776226
B. RILEY PRINCIPAL INVESTMENTS, LLC
11100 SANTA MONICA BLVD.
SUITE 800
LOS ANGELES
CA
90025
0
0
1
0
0001880803
BRF Investments, LLC
11100 SANTA MONICA BLVD.
SUITE 800
LOS ANGELES
CA
90025
0
0
1
0
0001207269
RILEY BRYANT R
11100 SANTA MONICA BLVD.
SUITE 800
LOS ANGELES
CA
90025
0
0
1
0
0
Common Stock, par value $0.01 per share
2023-11-30
4
S
0
5323282
2.90
D
0
I
By BRF Investments, LLC
Common Stock, par value $0.01 per share
2023-11-30
4
S
0
363246
2.90
D
0
I
By B. Riley Securities, Inc.
Common Stock, par value $0.01 per share
2023-11-30
4
S
0
29342
2.90
D
0
I
By B. Riley Principal Investments, LLC
Common Stock, par value $0.01 per share
2023-11-30
4
S
0
1588642
2.90
D
0
D
Common Stock, par value $0.01 per share
2023-11-30
4
S
0
23232
2.90
D
0
I
By Bryant R. Riley, as UTMA custodian for Abigail Riley
Common Stock, par value $0.01 per share
2023-11-30
4
S
0
25809
2.90
D
0
I
By Bryant R. Riley, as UTMA custodian for Charlie Riley
Common Stock, par value $0.01 per share
2023-11-30
4
S
0
23232
2.90
D
0
I
By Bryant R. Riley, as UTMA custodian for Susan Riley
Common Stock, par value $0.01 per share
2023-11-30
4
S
0
23232
2.90
D
0
I
By Bryant R. Riley, as UTMA custodian for Eloise Riley
Warrants to purchase Common Stock
1.00
2025-10-20
Common Stock, par value $0.01 per share
28409
28409
I
By BRF Investments, LLC
This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), BRF Investments, LLC, a Delaware corporation ("BRFI"), and Bryant R. Riley.
BRF is the parent company of BRS, BRPI and BRFI. As a result, BRF may be deemed to indirectly beneficially own the securities of The Arena Group Holdings, Inc. (the "Issuer") held of record by BRS, BRPI and BRFI. BRF expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such Reporting Person's pecuniary interest therein.
Bryant R. Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting power and dispositive power over the securities of the Issuer held of record by BRS, BRPI and BRFI. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the securities of the Issuer held of record by BRS, BRPI and BRFI. Bryant R. Riley expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of his pecuniary interest therein.
Represents shares held directly by Bryant R. Riley.
The warrants to purchase shares of Common Stock (the "Warrants") held by BRS are exercisable on or prior to October 20, 2025 at an initial exercise price of $1.00 per share. The Warrants are only exercisable in the event the Issuer amends its Certificate of Incorporation to authorize additional shares of Common Stock upon receiving shareholder approval of such amendment. This amendment has not been filed and/or accepted by the State of Delaware as of the date of this filing. The Warrants are also subject to a beneficial ownership limitation of 4.99%.
Represents warrants previously held by BRPI and subsequently transferred to BRFI, and reflects the 1-for-22 reverse stock split effected on February 9, 2022 in connection with the Issuer uplisting its Common Stock to the NYSE American stock exchange.
B. Riley Financial, Inc., by: /s/ Bryant R. Riley, Co-Chief Executive Officer
2023-12-04
B. Riley Securities, Inc. by: /s/ Andrew Moore, Chief Executive Officer
2023-12-04
B. Riley Principal Investments, LLC by: /s/ Kenneth Young, Chief Executive Officer
2023-12-04
BRF Investments, LLC., by: /s/ Phillip Ahn, Authorized Signatory
2023-12-04
/s/ Bryant R. Riley
2023-12-04