0001213900-20-025534.txt : 20200908
0001213900-20-025534.hdr.sgml : 20200908
20200908085035
ACCESSION NUMBER: 0001213900-20-025534
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200904
FILED AS OF DATE: 20200908
DATE AS OF CHANGE: 20200908
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: B. Riley Financial, Inc.
CENTRAL INDEX KEY: 0001464790
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389]
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36876
FILM NUMBER: 201163084
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: 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: 001-36876
FILM NUMBER: 201163085
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: RILEY BRYANT R
CENTRAL INDEX KEY: 0001207269
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36876
FILM NUMBER: 201163086
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: 1200 E. MARKET STREET, SUITE 650
CITY: AKRON
STATE: OH
ZIP: 44305
BUSINESS PHONE: 3308606205
MAIL ADDRESS:
STREET 1: 1200 E. MARKET STREET, SUITE 650
CITY: AKRON
STATE: OH
ZIP: 44305
4
1
ownership.xml
X0306
4
2020-09-04
0
0001630805
Babcock & Wilcox Enterprises, Inc.
BW
0001464790
B. Riley Financial, Inc.
11100 SANTA MONICA BLVD, SUITE 800
LOS ANGELES
CA
90025
1
0
1
0
0001505748
B. Riley Securities, Inc.
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
1
0
1
0
Common Stock, $0.01 par value per share
2020-09-04
4
P
0
2040816
2.45
A
4044702
I
By B. Riley Securities, Inc.
Common Stock, $0.01 par value per share
5875614
D
Common Stock, $0.01 par value per share
1936958
I
By BRC Partners Opportunity Fund, L.P.
Common Stock, $0.01 par value per share
176424
D
Common Stock, $0.01 par value per share
37353
I
Held in Bryant R. Riley's 401(k) account
Common Stock, $0.01 par value per share
33402
I
By Bryant R. Riley, as UTMA custodian for Charlie Riley
Common Stock, $0.01 par value per share
31416
I
By Bryant R. Riley, as UTMA custodian for Susan Riley
Common Stock, $0.01 par value per share
33402
I
By Bryant R. Riley, as UTMA custodian for Abigail Riley
Common Stock, $0.01 par value per share
33404
I
By Bryant R. Riley, as UTMA custodian for Eloise Riley
This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), and Bryant R. Riley. BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), is a subsidiary of B. Riley Capital Management, LLC, a New York limited liability company and registered investment advisor ("BRCM"), and is the general partner of BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"). BRF is the parent company of BRCM. As a result, BRF and BRCM may be deemed to indirectly beneficially own the shares held by BRPLP. BRF is the parent company of BRS. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS.
Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. Accordingly, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock held by BRPLP and BRS. Each of Bryant R. Riley, BRF, BRS, BRPGP, BRCM and BRPLP disclaims beneficial ownership of the outstanding shares of Common Stock reported herein, except to the extent of its/his respective pecuniary interest therein.
Represents shares held directly by Bryant R. Riley.
B. Riley Financial, Inc., by: /s/ Bryant R. Riley, Co-Chief Executive Officer
2020-09-08
B. Riley Securities, Inc., by: /s/ Andrew Moore, Chief Executive Officer
2020-09-08
/s/ Bryant R. Riley
2020-09-08