0001213900-19-013343.txt : 20190722
0001213900-19-013343.hdr.sgml : 20190722
20190722202906
ACCESSION NUMBER: 0001213900-19-013343
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190718
FILED AS OF DATE: 20190722
DATE AS OF CHANGE: 20190722
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: 001-36876
FILM NUMBER: 19966645
MAIL ADDRESS:
STREET 1: C/O B. RILEY FINANCIAL, INC.
STREET 2: 21255 BURBANK BLVD, SUITE 400
CITY: WOODLAND HILLS
STATE: CA
ZIP: 91367
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Babcock & Wilcox Enterprises, Inc.
CENTRAL INDEX KEY: 0001630805
STANDARD INDUSTRIAL CLASSIFICATION: HEATING EQUIPMENT, EXCEPT ELECTRIC & WARM AIR FURNACES [3433]
IRS NUMBER: 472783641
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 20 S. VAN BUREN AVENUE
CITY: BARBERTON
STATE: OH
ZIP: 44203
BUSINESS PHONE: 3307534511
MAIL ADDRESS:
STREET 1: 20 S. VAN BUREN AVENUE
CITY: BARBERTON
STATE: OH
ZIP: 44203
4
1
ownership.xml
X0306
4
2019-07-18
0
0001630805
Babcock & Wilcox Enterprises, Inc.
BW
0001207269
RILEY BRYANT R
21255 BURBANK BOULEVARD, SUITE 400
WOODLAND HILLS,
CA
91367
1
0
0
0
Common Stock
2019-07-18
4
X
0
419339
0.30
A
844246
D
Common Stock
2019-07-18
4
X
0
73421
0.30
A
147817
I
As UTMA custodian for Abigail Riley
Common Stock
2019-07-18
4
X
0
73420
0.30
A
147815
I
As UTMA custodian for Charlie Riley
Common Stock
2019-07-18
4
X
0
73419
0.30
A
147813
I
As UTMA custodian for Eloise Riley
Common Stock
2019-07-18
4
X
0
63552
0.30
A
127948
I
As UTMA custodian for Susan Riley
Common Stock
2019-07-18
4
X
0
185536
0.30
A
373536
I
By 401(k) Plan
Nontransferable Subscription Rights (right to buy)
0.30
2019-07-18
4
X
0
424907
0
D
2019-06-28
2019-07-18
Common Stock
419339
0
D
Nontransferable Subscription Rights (right to buy)
0.30
2019-07-18
4
X
0
74396
0
D
2019-06-28
2019-07-18
Common Stock
73421
0
I
As UTMA custodian for Abigail Riley
Nontransferable Subscription Rights (right to buy)
0.30
2019-07-18
4
X
0
74395
0
D
2019-06-28
2019-07-18
Common Stock
73420
0
I
As UTMA custodian for Charlie Riley
Nontransferable Subscription Rights (right to buy)
0.30
2019-07-18
4
X
0
74394
0
D
2019-06-28
2019-07-18
Common Stock
73419
0
I
As UTMA custodian for Eloise Riley
Nontransferable Subscription Rights (right to buy)
0.30
2019-07-18
4
X
0
64396
0
D
2019-06-28
2019-07-18
Common Stock
63552
0
I
As UTMA custodian for Susan Riley
Nontransferable Subscription Rights (right to buy)
0.30
2019-07-18
4
X
0
188000
0
D
2019-06-28
2019-07-18
Common Stock
185536
0
I
By 401(k) Plan
Represents shares of the Issuer's common stock, par value $0.01 per share ("Common Stock") acquired by the Reporting Persons following the exercise of its subscription rights in connection with the Issuer's subscription rights offering (the "Offering") to holders of the Common Stock, described in the Issuer's prospectus dated June 28, 2019 and filed with the United States Securities and Exchange Commission on June 28, 2019. Each holder of Common Stock of record as of June 27, 2019 received one right for each share of Common Stock, and each right entitled the holder of Common Stock to purchase 0.986896 shares of Common Stock at the subscription price of $0.30 per whole share. Rights could only be exercised in whole numbers of Common Stock and no fractional shares of Common Stock were issued in the Offering.
Any fractional shares of Common Stock created by the exercise of the rights were rounded to the nearest whole share, with such adjustments as may be necessary to ensure that Issuer offered 166,666,667 shares of Common Stock. There was no oversubscription privilege offered in connection with the Offering.
Represents the Reporting Persons' exercise of subscription rights pursuant to the Offering.
/s/ Bryant R. Riley
2019-07-22