0001213900-20-014309.txt : 20200605 0001213900-20-014309.hdr.sgml : 20200605 20200605203059 ACCESSION NUMBER: 0001213900-20-014309 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200520 FILED AS OF DATE: 20200605 DATE AS OF CHANGE: 20200605 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-39291 FILM NUMBER: 20947900 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: B. Riley Principal Sponsor Co. II, LLC CENTRAL INDEX KEY: 0001811637 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-39291 FILM NUMBER: 20947901 BUSINESS ADDRESS: STREET 1: 299 PARK AVENUE STREET 2: 21ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10171 BUSINESS PHONE: (212) 457-3300 MAIL ADDRESS: STREET 1: 299 PARK AVENUE STREET 2: 21ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10171 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: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-39291 FILM NUMBER: 20947902 BUSINESS ADDRESS: STREET 1: 21255 BURBANK BLVD, SUITE 400 CITY: WOODLAND HILLS STATE: CA ZIP: 91367 BUSINESS PHONE: 818-884-3737 MAIL ADDRESS: STREET 1: 21255 BURBANK BLVD, SUITE 400 CITY: WOODLAND HILLS STATE: CA ZIP: 91367 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: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-39291 FILM NUMBER: 20947903 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: BRC Partners Management GP, LLC CENTRAL INDEX KEY: 0001749420 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-39291 FILM NUMBER: 20947904 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: BRC Partners Opportunity Fund, LP CENTRAL INDEX KEY: 0001642765 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-39291 FILM NUMBER: 20947905 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 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: B. Riley Principal Merger Corp. II CENTRAL INDEX KEY: 0001805077 STANDARD INDUSTRIAL CLASSIFICATION: BLANK CHECKS [6770] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 299 PARK AVENUE STREET 2: 21ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10171 BUSINESS PHONE: (212) 457-3300 MAIL ADDRESS: STREET 1: 299 PARK AVENUE STREET 2: 21TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10171 4/A 1 ownership.xml OWNERSHIP DOCUMENT X0306 4/A 2020-05-20 2020-05-22 0 0001805077 B. Riley Principal Merger Corp. II BMRG 0001464790 B. Riley Financial, Inc. 21255 BURBANK BOULEVARD, SUITE 400 WOODLAND HILLS CA 91367 0 0 1 0 0001811637 B. Riley Principal Sponsor Co. II, LLC C/O B. RILEY PRINCIPAL MERGER CORP. II 299 PARK AVENUE, 21ST FLOOR NEW YORK NY 10171 0 0 1 0 0001776226 B. RILEY PRINCIPAL INVESTMENTS, LLC 21255 BURBANK BOULEVARD, SUITE 400 WOODLAND HILLS CA 91367 0 0 1 0 0001658704 B. RILEY CAPITAL MANAGEMENT, LLC 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 0001642765 BRC Partners Opportunity Fund, LP 11100 SANTA MONICA BLVD, SUITE 800 LOS ANGELES CA 90025 0 0 1 0 Class A Common Stock 2020-05-20 4 P 0 33700 9.9874 A 33700 I By BRC Partners Opportunity Fund, L.P. Class A Common Stock 2020-05-21 4 P 0 16300 9.98 A 50000 I By BRC Partners Opportunity Fund, L.P. Class A Common Stock 2020-05-22 4 J 0 650000 10.00 A 650000 I By B. Riley Principal Sponsor Co. II, LLC Class B Common Stock 2020-05-28 4 J 0 656250 D Class A Common Stock 656250 4295000 I By B. Riley Principal Sponsor Co. II, LLC The reported shares of Class A Common Stock are within the Issuer's public units, as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-237812) (the "Registration Statement"). These shares were inadvertently omitted from the Form 4 filed by the reporting persons on May 22, 2020. BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), is the general partner of BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"). B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), is an investment advisor to BRPLP, and 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. The reported shares of Class A Common Stock are within 650,000 of the Issuer's Private Placement Units, as described under the heading "Description of Securities " in the Issuer's registration statement on Form S-1 (File No. 333- 237812), purchased by the Reporting Persons for $10.00 per Private Placement Unit. B. Riley Principal Investments, LLC ("BRPI") is the sole member of B. Riley Principal Sponsor Co. II, LLC (the "Sponsor") and is a wholly-owned subsidiary of B. Riley Financial, Inc. ("BRF"). BRPI and BRF have voting and dispositive power over the securities held by the Sponsor. Each of BRPI and BRF disclaims beneficial ownership over any securities directly held by the Sponsor other than to the extent of any pecuniary interest it may have therein, directly or indirectly. The reported shares of Class B common stock are convertible for shares of the Issuer's Class A common stock as described under the heading "Description of Securities" in the Registration Statement and have no expiration date. 656,250 shares of Class B Common Stock were forfeited to the Issuer at no cost in connection with the determination by the underwriters not to exercise their over-allotment option in whole or in part, as described in the Registration Statement. /s/ Yael Steiner, Attorney-in-Fact for B. Riley Financial, Inc. 2020-06-05 /s/ Yael Steiner, Attorney-in-Fact for B. Riley Principal Sponsor Co. II, LLC 2020-06-05 /s/ Yael Steiner, Attorney-in-Fact for B. Riley Principal Investments. LLC 2020-06-05 /s/ Yael Steiner, Attorney-in-Fact for B. Riley Capital Management, LLC 2020-06-05 /s/ Yael Steiner, Attorney-in-Fact for BRC Partners Management GP, LLC 2020-06-05 /s/ Yael Steiner, Attorney-in-Fact for BRC Partners Opportunity Fund. L.P. 2020-06-05