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