0001213900-22-026275.txt : 20220513 0001213900-22-026275.hdr.sgml : 20220513 20220513122513 ACCESSION NUMBER: 0001213900-22-026275 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220512 FILED AS OF DATE: 20220513 DATE AS OF CHANGE: 20220513 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: 22921283 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: INVESTMENT ADVICE [6282] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36876 FILM NUMBER: 22921286 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: 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: 001-36876 FILM NUMBER: 22921284 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: 001-36876 FILM NUMBER: 22921285 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 2022-05-12 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 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 Common Stock, $0.01 par value per share 2022-05-12 4 P 0 200000 5.7116 A 11531099 I By B. Riley Securities, Inc. Common Stock, $0.01 par value per share 296788 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 33733 I By Bryant R. Riley, as UTMA custodian for Abigail Riley Common Stock, $0.01 par value per share 33733 I By Bryant R. Riley, as UTMA custodian for Charlie Riley Common Stock, $0.01 par value per share 31747 I By Bryant R. Riley, as UTMA custodian for Susan Riley Common Stock, $0.01 par value per share 33735 I By Bryant R. Riley, as UTMA custodian for Eloise Riley Common Stock, $0.01 par value per share 13714574 I By BRF Investments, LLC 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"), BRF Investments, LLC, a Delaware corporation ("BRFI"), and Bryant R. Riley. BRF is the parent company of BRS and BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS and BRFI. 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 and BRFI. Each of BRF, BRS, BRFI, 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. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.62 to $5.75, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares purchased at each separate price. Includes 121,688 shares received upon distribution from a limited partnership. Includes 331 shares received upon distribution from a limited partnership. B. Riley Financial, Inc., by: /s/ Bryant R. Riley, Co-Chief Executive Officer 2022-05-13 B. Riley Securities, Inc., by: /s/ Andrew Moore, Chief Executive Officer 2022-05-13 BRF Investments, LLC, by: /s/ Phillip Ahn, Authorized Signatory 2022-05-13 Bryant R. Riley, by: /s/ Bryant R. Riley 2022-05-13