0001213900-19-014226.txt : 20190731
0001213900-19-014226.hdr.sgml : 20190731
20190731182221
ACCESSION NUMBER: 0001213900-19-014226
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190723
FILED AS OF DATE: 20190731
DATE AS OF CHANGE: 20190731
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: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36876
FILM NUMBER: 19990180
BUSINESS ADDRESS:
STREET 1: 21255 BURBANK BLVD.
STREET 2: SUITE 400
CITY: WOODLAND HILLS
STATE: CA
ZIP: 91367
BUSINESS PHONE: 818-884-3737
MAIL ADDRESS:
STREET 1: 21255 BURBANK BLVD.
STREET 2: SUITE 400
CITY: WOODLAND HILLS
STATE: CA
ZIP: 91367
FORMER NAME:
FORMER CONFORMED NAME: Great American Group, Inc.
DATE OF NAME CHANGE: 20090522
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BRC Partners Opportunity Fund, LP
CENTRAL INDEX KEY: 0001642765
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36876
FILM NUMBER: 19990181
BUSINESS ADDRESS:
STREET 1: 11100 SANTA MONICA BLVD. SUITE 800
CITY: LOS ANGELES
STATE: CA
ZIP: 90025
BUSINESS PHONE: 310-966-1445
MAIL ADDRESS:
STREET 1: 11100 SANTA MONICA BLVD. SUITE 800
CITY: LOS ANGELES
STATE: CA
ZIP: 90025
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BRC Partners Management GP, LLC
CENTRAL INDEX KEY: 0001749420
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36876
FILM NUMBER: 19990182
BUSINESS ADDRESS:
STREET 1: 11100 SANTA MONICA BLVD SUITE 800
CITY: LOS ANGELES
STATE: CA
ZIP: 90025
BUSINESS PHONE: 310-689-2220
MAIL ADDRESS:
STREET 1: 11100 SANTA MONICA BLVD SUITE 800
CITY: LOS ANGELES
STATE: CA
ZIP: 90025
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: B. RILEY CAPITAL MANAGEMENT, LLC
CENTRAL INDEX KEY: 0001658704
STATE OF INCORPORATION: NY
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36876
FILM NUMBER: 19990183
BUSINESS ADDRESS:
STREET 1: 11100 SANTA MONICA BLVD.
STREET 2: SUITE 800
CITY: LOS ANGELES
STATE: CA
ZIP: 90025
BUSINESS PHONE: 310-966-1445
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 FBR, Inc.
CENTRAL INDEX KEY: 0001505748
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36876
FILM NUMBER: 19990184
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: 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: 20 S. VAN BUREN AVENUE
CITY: BARBERTON
STATE: OH
ZIP: 44203
BUSINESS PHONE: 3307534511
MAIL ADDRESS:
STREET 1: 20 S. VAN BUREN AVENUE
CITY: BARBERTON
STATE: OH
ZIP: 44203
3
1
ownership.xml
X0206
3
2019-07-23
0
0001630805
Babcock & Wilcox Enterprises, Inc.
BW
0001464790
B. Riley Financial, Inc.
21255 BURBANK BOULEVARD, SUITE 400
WOODLAND HILLS
CA
91367
0
0
1
0
0001642765
BRC Partners Opportunity Fund, LP
11100 SANTA MONICA BLVD. SUITE 800
LOS ANGELES
CA
90025
0
0
1
0
0001749420
BRC Partners Management GP, LLC
11100 SANTA MONICA BLVD SUITE 800
LOS ANGELES
CA
90025
0
0
1
0
0001658704
B. RILEY CAPITAL MANAGEMENT, LLC
11100 SANTA MONICA BLVD.
SUITE 800
LOS ANGELES
CA
90025
0
0
1
0
0001505748
B. Riley FBR, Inc.
11100 SANTA MONICA BLVD., SUITE 800
LOS ANGELES
CA
90025
0
0
1
0
Common Stock
3191296
D
Common Stock
1859423
I
See notes
Common Stock
1860889
I
See notes
Warrants (right to buy)
0.01
2019-07-23
2022-07-23
Common Stock
1541666
D
Warrants (right to buy)
0.01
2019-07-23
2022-07-23
Common Stock
125000
I
See notes
In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons").
BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRFBR. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock"), of Babcock & Wilcox Enterprises, Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein.
Represents securities owned directly by BRFBR.
Represents securities owned directly by BRPLP.
B. Riley Financial, Inc., by: /s/ Bryant R. Riley, Co-Chief Executive Officer
2019-07-31
BRC Partners Opportunity Fund, L.P., by: /s/ Bryant R. Riley, Chief Investment Officer
2019-07-31
BRC Partners Management GP, LLC, by B. Riley Capital Management, LLC, its sole member, by: /s/ Bryant R. Riley, Chief Executive Officer
2019-07-31
B. Riley Capital Management, LLC, by: /s/ Bryant R. Riley, Chief Executive Officer
2019-07-31
B. Riley FBR, Inc., by: /s/ Andrew Moore, Chief Executive Officer
2019-07-31