0001213900-22-053431.txt : 20220901
0001213900-22-053431.hdr.sgml : 20220901
20220901213028
ACCESSION NUMBER: 0001213900-22-053431
CONFORMED SUBMISSION TYPE: 3/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20220819
FILED AS OF DATE: 20220901
DATE AS OF CHANGE: 20220901
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: RILEY BRYANT R
CENTRAL INDEX KEY: 0001207269
FILING VALUES:
FORM TYPE: 3/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40682
FILM NUMBER: 221223078
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: 3/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40682
FILM NUMBER: 221223082
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: ABJ5, LLC
CENTRAL INDEX KEY: 0001945226
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40682
FILM NUMBER: 221223080
BUSINESS ADDRESS:
STREET 1: 111000 SANTA MONICA BLVD.
STREET 2: SUITE 800
CITY: LOS ANGELES
STATE: CA
ZIP: 90025
BUSINESS PHONE: 818-884-3737
MAIL ADDRESS:
STREET 1: 111000 SANTA MONICA BLVD.
STREET 2: SUITE 800
CITY: LOS ANGELES
STATE: CA
ZIP: 90025
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: B. RILEY PRINCIPAL INVESTMENTS, LLC
CENTRAL INDEX KEY: 0001776226
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40682
FILM NUMBER: 221223081
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: 3/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40682
FILM NUMBER: 221223079
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: Nogin, Inc.
CENTRAL INDEX KEY: 0001841800
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389]
IRS NUMBER: 853087759
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 1775 FLIGHT WAY, STE 400
CITY: TUSTIN
STATE: CA
ZIP: 92782
BUSINESS PHONE: 949-864-8136
MAIL ADDRESS:
STREET 1: 1775 FLIGHT WAY, STE 400
CITY: TUSTIN
STATE: CA
ZIP: 92782
FORMER COMPANY:
FORMER CONFORMED NAME: Software Acquisition Group Inc. III
DATE OF NAME CHANGE: 20210122
3/A
1
ownership.xml
X0206
3/A
2022-08-19
2022-08-29
0
0001841800
Nogin, Inc.
NOGN
0001464790
B. Riley Financial, Inc.
11100 SANTA MONICA BOULEVARD, SUITE 800
LOS ANGELES
CA
90025
0
0
1
0
0001776226
B. RILEY PRINCIPAL INVESTMENTS, LLC
11100 SANTA MONICA BOULEVARD, SUITE 800
LOS ANGELES
CA
90025
0
0
1
0
0001945226
ABJ5, LLC
11100 SANTA MONICA BOULEVARD, SUITE 800
LOS ANGELES
CA
90025
0
0
1
0
0001505748
B. Riley Securities, Inc.
11100 SANTA MONICA BOULEVARD, SUITE 800
LOS ANGELES
CA
90025
0
0
1
0
0001207269
RILEY BRYANT R
11100 SANTA MONICA BOULEVARD, SUITE 800
LOS ANGELES
CA
90025
0
0
1
0
Common Stock
5683899
I
By ABJ5, LLC
Common Stock
517079
I
By B. Riley Securities, Inc.
This Form 3 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), ABJ5, LLC, a Delaware limited liability company ("ABJ5"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), and Bryant R. Riley.
ABJ5 is a wholly-owned subsidiary of BRPI. As a result, BRPI may be deemed to indirectly beneficially own the securities of Software Acquisition Group, Inc. III. (the "Issuer") held of record by ABJ5. BRF is the parent company of BRPI and BRS. As a result, BRF may be deemed to indirectly beneficially own the securities of the Issuer held of record by ABJ5, BRPI and 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 securities of the Issuer held of record by ABJ5, BRPI and BRS. Each of BRF, BRPI, ABJ5, BRS, and Bryant R. Riley expressly disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of his pecuniary interest therein.
This filing amends the Form 3 filed on August 29, 2022 to reflect the addition of ABJ5 as a Reporting Person and signatory hereto. ABJ5 had not yet obtained edgar access codes at the time of the prior Form 3 filing and has since obtained such codes.
B. Riley Financial, Inc., by: /s/ Bryant R. Riley, Co-Chief Executive Officer
2022-09-01
B. Riley Principal Investments, LLC by: /s/ Kenneth Young, Chief Executive Officer
2022-09-01
ABJ5, LLC by: /s/ Jimmy Baker, President
2022-09-01
B. Riley Securities, Inc. by /s/ Andrew Moore, Chief Executive Officer
2022-09-01
/s/ Bryant R. Riley
2022-09-01