0001213900-21-055609.txt : 20211029 0001213900-21-055609.hdr.sgml : 20211029 20211029213024 ACCESSION NUMBER: 0001213900-21-055609 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210930 FILED AS OF DATE: 20211029 DATE AS OF CHANGE: 20211029 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: 211365119 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: 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: 211365121 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: 211365120 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 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 2021-09-30 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 0 0 1 0 Common Stock, $0.01 par value per share 13714574 I By BRF Investments, LLC Common Stock, $0.01 par value per share 11331099 I By B. Riley Securities, Inc. 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 Warrants (right to buy) 0.01 2019-07-23 2022-07-23 Common Stock 1541666.7 1541666.7 I By BRF Investments, LLC 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. 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. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRS. Each of BRF, BRS, and Bryant R. Riley 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. Represents shares and warrants previously held directly by BRF and subsequently transferred to BRFI. Represents shares previously held directly by BRF and subsequently transferred to BRS. As of September 30, 2021, by virtue of the removal of any trading and voting power authority in any capacity of BRF, B. Riley Capital Management, LLC, a New York limited liability company, a registered investment advisor ("BRCM"), and Bryant R. Riley over the assets of BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRF, BRCM and Bryant R. Riley no longer may be deemed to beneficially own the shares held by BRPLP. B. Riley Financial, Inc., by: /s/ Bryant R. Riley, Co-Chief Executive Officer 2021-10-29 B. Riley Securities, Inc., by: /s/ Andrew Moore, Chief Executive Officer 2021-10-29 Bryant R. Riley, by: /s/ Bryant R. Riley 2021-10-29