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