Chief Compliance Officer

0001615774-17-000642.txt : 20170215 0001615774-17-000642.hdr.sgml : 20170215 20170214185947 ACCESSION NUMBER: 0001615774-17-000642 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170215 DATE AS OF CHANGE: 20170214 EFFECTIVENESS DATE: 20170215 FILER: COMPANY DATA: COMPANY CONFORMED NAME: B. Riley Financial, Inc. CENTRAL INDEX KEY: 0001464790 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389] IRS NUMBER: 270223495 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-17148 FILM NUMBER: 17612173 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 COMPANY: FORMER CONFORMED NAME: Great American Group, Inc. DATE OF NAME CHANGE: 20090522 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001464790 XXXXXXXX 12-31-2016 12-31-2016 false B. Riley Financial, Inc.

21255 Burbank Blvd. Suite 400 Woodland Hills CA 91367

13F HOLDINGS REPORT 028-17148 N Michael Markunas Chief Compliance Officer 310-689-2220 /s/ Michael Markunas Los Angeles CA 02-14-2017 2 149 149823 1 0001658704 028-17147 B. RILEY CAPITAL MANAGEMENT, LLC 2 0001207269 028-17146 RILEY BRYANT R INFORMATION TABLE 2 infotable.xml AETNA INC NEW COM 00817Y108 744 6000 SH DFND 1 0 6000 0 ALPS ETF TR ALERIAN MLP 00162Q866 198 15688 SH DFND 1 0 15688 0 AMERICAN EAGLE OUTFITTERS NE COM 02553E106 236 15529 SH DFND 1 0 15529 0 APOLLO INVT CORP COM 03761U106 283 48322 SH DFND 1 0 48322 0 APOLLO SR FLOATING RATE FD I COM 037636107 868 49893 SH DFND 1 0 49893 0 APOLLO TACTICAL INCOME FD IN COM 037638103 537 34767 SH DFND 1 0 34767 0 APPLE INC COM 037833100 1186 10239 SH DFND 1 0 10239 0 ARES CAP CORP COM 04010L103 1285 77899 SH DFND 1 0 77899 0 ARES DYNAMIC CR ALLOCATION F COM 04014F102 236 15661 SH DFND 1 0 15661 0 ATLANTIC ALLIANCE PARTNER CO SHS G04897107 1157 125115 SH DFND 1 0 125115 0 AVISTA HEALTHCARE PUB ACQ CO *W EXP 99/99/999 G0726L117 45 100000 SH DFND 1 0 100000 0 AVISTA HEALTHCARE PUB ACQ CO CL A G0726L125 985 100000 SH DFND 1 0 100000 0 BAZAARVOICE INC COM 073271108 267 55030 SH DFND 1 0 55030 0 BERKSHIRE HATHAWAY INC DEL CL A 084670108 244 1 SH DFND 1 0 1 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 546 3350 SH DFND 1 0 3350 0 BLACKROCK CAPITAL INVESTMENT COM 092533108 323 46412 SH DFND 1 0 46412 0 BLACKSTONE GSO FLTING RTE FU COM 09256U105 181 10000 SH DFND 1 0 10000 0 BOULEVARD ACQUISITION CL A 10157Q102 2488 251548 SH DFND 1 0 251548 0 BROADWIND ENERGY INC COM NEW 11161T207 2713 670657 SH DFND 1 0 670657 0 BROOKFIELD PPTY PARTNERS L P UNIT LTD PARTN G16249107 227 10345 SH DFND 1 0 10345 0 BROOKFIELD REAL ASSETS INCOM SHS BEN INT 112830104 272 12206 SH DFND 1 0 12206 0 BRT RLTY TR SH BEN INT NEW 055645303 52 49089 SH DFND 1 0 49089 0 CADIZ INC COM NEW 127537207 250 20000 SH DFND 0 20000 0 CADIZ INC COM NEW 127537207 2727 218135 SH DFND 1 0 218135 0 CALAMP CORP COM 128126109 243 16766 SH DFND 1 0 16766 0 CAPITOL ACQUISITION CORP III COM 14055M106 378 37950 SH DFND 1 0 37950 0 CF CORP SHS CL A G20307107 2125 214168 SH DFND 1 0 214168 0 COHEN & STEERS LTD DUR PFD I COM 19248C105 641 26133 SH DFND 1 0 26133 0 COMSTOCK RES INC NOTE 7.750% 4/0 205768AM6 23 27000 PRN DFND 0 27000 0 DICKS SPORTING GOODS INC COM 253393102 242 4561 SH DFND 1 0 4561 0 DIGITAL TURBINE INC COM NEW 25400W102 334 490739 SH DFND 0 490739 0 DIGITAL TURBINE INC COM NEW 25400W102 1170 1720036 SH DFND 1 0 1720036 0 DISNEY WALT CO COM DISNEY 254687106 291 2790 SH DFND 1 0 2790 0 DOUBLELINE INCOME SOLUTIONS COM 258622109 1658 87321 SH DFND 1 0 87321 0 EARTHLINK HLDGS CORP COM 27033X101 4120 730565 SH DFND 1 0 730565 0 ENERGY TRANSFER EQUITY L P COM UT LTD PTN 29273V100 243 12590 SH DFND 1 0 12590 0 FACEBOOK INC CL A 30303M102 344 2994 SH DFND 1 0 2994 0 FERROGLOBE PLC SHS G33856108 247 22833 SH DFND 1 0 22833 0 FINISAR CORP COM NEW 31787A507 238 7871 SH DFND 1 0 7871 0 FLEX LTD ORD Y2573F102 262 18231 SH DFND 1 0 18231 0 GARRISON CAP INC COM 366554103 702 75055 SH DFND 1 0 75055 0 GOLDMAN SACHS MLP INC OPP FD COM SHS 38147W103 752 77344 SH DFND 1 0 77344 0 GTY TECHNOLOGY HOLDINGS INC *W EXP 99/99/999 G4182A128 42 83333 SH DFND 1 0 83333 0 GTY TECHNOLOGY HOLDINGS INC CL A G4182A102 2687 249999 SH DFND 1 0 249999 0 HC2 HLDGS INC COM 404139107 53 8863 SH DFND 0 8863 0 HC2 HLDGS INC COM 404139107 2962 499524 SH DFND 1 0 499524 0 HEWLETT PACKARD ENTERPRISE C COM 42824C109 1291 55812 SH DFND 1 0 55812 0 HP INC COM 40434L105 2145 144548 SH DFND 1 0 144548 0 IMAX CORP COM 45245E109 257 8200 SH DFND 1 0 8200 0 INTRALINKS HLDGS INC COM 46118H104 294 21765 SH DFND 1 0 21765 0 ISHARES MSCI BRZ CAP ETF 464286400 271 8130 SH DFND 1 0 8130 0 ISHARES MIN VOL GBL ETF 464286525 1247 17176 SH DFND 1 0 17176 0 ISHARES TR RUS 2000 GRW ETF 464287648 252 1637 SH DFND 1 0 1637 0 ISHARES TR NASDQ BIOTEC ETF 464287556 504 1901 SH DFND 1 0 1901 0 ISHARES TR RUS 1000 GRW ETF 464287614 215 2053 SH DFND 1 0 2053 0 ISHARES TR CORE S&P MCP ETF 464287507 532 3216 SH DFND 1 0 3216 0 ISHARES TR 1-3 YR CR BD ETF 464288646 375 3578 SH DFND 1 0 3578 0 ISHARES TR GLOBAL MATER ETF 464288695 299 5448 SH DFND 1 0 5448 0 ISHARES TR NATIONAL MUN ETF 464288414 820 7580 SH DFND 1 0 7580 0 ISHARES TR MSCI EMG MKT ETF 464287234 308 8786 SH DFND 1 0 8786 0 ISHARES TR MIN VOL EAFE ETF 46429B689 540 8819 SH DFND 1 0 8819 0 ISHARES TR JP MOR EM MK ETF 464288281 1078 9779 SH DFND 1 0 9779 0 ISHARES TR CORE MSCI EAFE 46432F842 551 10275 SH DFND 1 0 10275 0 ISHARES TR IBOXX INV CP ETF 464287242 1243 10604 SH DFND 1 0 10604 0 ISHARES TR SELECT DIVID ETF 464287168 1092 12325 SH DFND 1 0 12325 0 ISHARES TR NEW YORK MUN ETF 464288323 1397 12828 SH DFND 1 0 12828 0 ISHARES TR MSCI ACWI EX US 464288240 568 14108 SH DFND 1 0 14108 0 ISHARES TR RUS MID-CAP ETF 464287499 2777 15527 SH DFND 1 0 15527 0 ISHARES TR MIN VOL USA ETF 46429B697 962 21269 SH DFND 1 0 21269 0 ISHARES TR MSCI EAFE ETF 464287465 1239 21458 SH DFND 1 0 21458 0 ISHARES TR FLTG RATE BD ETF 46429B655 2489 49058 SH DFND 1 0 49058 0 ISHARES TR INTL SEL DIV ETF 464288448 1562 52840 SH DFND 1 0 52840 0 KEMET CORP COM NEW 488360207 106 16028 SH DFND 0 16028 0 KEMET CORP COM NEW 488360207 10108 1524555 SH DFND 1 0 1524555 0 KRATOS DEFENSE & SEC SOLUTIONS COM NEW 50077B207 267 36095 SH DFND 1 0 36095 0 LADENBURG THALMAN FIN SVCS I COM 50575Q102 6 81050 SH DFND 1 0 81050 0 LINDBLAD EXPEDITIONS HLDGS I COM 535219109 180 19100 SH DFND 1 0 19100 0 LUMENTUM HLDGS INC COM 55024U109 260 6738 SH DFND 1 0 6738 0 M I ACQUISITIONS INC COM 55304A104 215 21500 SH DFND 1 0 21500 0 MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 271 19513 SH DFND 1 0 19513 0 MATTEL INC COM 577081102 249 9036 SH DFND 1 0 9036 0 MAXWELL TECHNOLOGIES INC COM 577767106 116 22705 SH DFND 0 22705 0 MCBC HLDGS INC COM 55276F107 151 10345 SH DFND 0 10345 0 MCBC HLDGS INC COM 55276F107 272 18635 SH DFND 1 0 18635 0 MICROSOFT CORP COM 594918104 2275 36611 SH DFND 1 0 36611 0 MORGAN STANLEY COM NEW 617446448 465 11000 SH DFND 1 0 11000 0 MORGAN STANLEY COM NEW 617446448 1056 25000 SH Put DFND 1 0 25000 0 MOTORCAR PTS AMER INC COM 620071100 267 9933 SH DFND 1 0 9933 0 NETLIST INC COM 64118P109 404 396455 SH DFND 0 396455 0 NETLIST INC COM 64118P109 897 879000 SH DFND 1 0 879000 0 NETSCOUT SYS INC COM 64115T104 245 7774 SH DFND 1 0 7774 0 NEW MTN FIN CORP COM 647551100 423 30000 SH DFND 1 0 30000 0 NIELSEN HLDGS PLC SHS EUR G6518L108 206 4900 SH DFND 1 0 4900 0 NUTRI SYS INC NEW COM 67069D108 243 7015 SH DFND 1 0 7015 0 NUVEEN AMT FREE QLTY MUN INC COM 670657105 167 12500 SH DFND 1 0 12500 0 NUVEEN BUILD AMER BD FD COM 67074C103 529 25623 SH DFND 1 0 25623 0 NUVEEN MTG OPPORTUNITY TERM COM 670735109 232 9633 SH DFND 1 0 9633 0 NUVEEN MUN VALUE FD INC COM 670928100 141 14800 SH DFND 1 0 14800 0 ON SEMICONDUCTOR CORP COM 682189105 451 35373 SH DFND 1 0 35373 0 ONE LIBERTY PPTYS INC COM 682406103 121 15173 SH DFND 1 0 15173 0 PACE HLDGS CORP CL A G6865N103 109 10783 SH DFND 1 0 10783 0 PDL BIOPHARMA INC NOTE 4.000% 2/0 69329YAF1 72 74000 PRN DFND 0 74000 0 PENNANTPARK FLOATING RATE CA COM 70806A106 2539 179970 SH DFND 1 0 179970 0 PENNANTPARK INVT CORP COM 708062104 2705 353155 SH DFND 1 0 353155 0 PFIZER INC COM 717081103 227 6986 SH DFND 1 0 6986 0 PFSWEB INC COM NEW 717098206 269 31604 SH DFND 1 0 31604 0 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 6172 60911 SH DFND 1 0 60911 0 PIMCO ETF TR LOW DURTN AC ETF 72201R718 1021 10177 SH DFND 1 0 10177 0 PLATFORM SPECIALTY PRODS COR COM 72766Q105 589 60000 SH DFND 1 0 60000 0 POWERSHARES ETF TR II PFD PORTFOLIO 73936T565 445 31244 SH DFND 1 0 31244 0 POWERSHARES ETF TRUST DYN BIOT & GEN 73935X856 237 6102 SH DFND 1 0 6102 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 9478 80000 SH Put DFND 1 0 80000 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 901 7603 SH DFND 1 0 7603 0 PRESTIGE BRANDS HLDGS INC COM 74112D101 269 5160 SH DFND 1 0 5160 0 PROVIDENT FINL SVCS INC COM 74386T105 354 12500 SH DFND 1 0 12500 0 READING INTERNATIONAL INC CL A 755408101 285 17156 SH DFND 1 0 17156 0 SCHLUMBERGER LTD COM 806857108 249 2969 SH DFND 1 0 2969 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 280 3440 SH DFND 1 0 3440 0 SKYWORKS SOLUTIONS INC COM 83088M102 239 3196 SH DFND 1 0 3196 0 SOLAR CAP LTD COM 83413U100 335 16109 SH DFND 1 0 16109 0 SOLAR SR CAP LTD COM 83416M105 4681 284706 SH DFND 1 0 284706 0 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 708 3586 SH DFND 1 0 3586 0 SPDR INDEX SHS FDS GLB NAT RESRCE 78463X541 870 21161 SH DFND 1 0 21161 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 1604 7175 SH DFND 1 0 7175 0 SPLUNK INC COM 848637104 490 9579 SH DFND 1 0 9579 0 SYSOREX GLOBAL COM NEW 87184N203 194 796707 SH DFND 0 796707 0 TELENAV INC COM 879455103 2582 366187 SH DFND 1 0 366187 0 THL CR INC COM 872438106 302 30200 SH DFND 1 0 30200 0 TIVO CORP COM 88870P106 265 12700 SH DFND 1 0 12700 0 TORTOISE MLP FD INC COM 89148B101 881 46160 SH DFND 1 0 46160 0 TRANSACT TECHNOLOGIES INC COM 892918103 269 40831 SH DFND 1 0 40831 0 TRUECAR INC COM 89785L107 255 20408 SH DFND 1 0 20408 0 URBAN EDGE PPTYS COM 91704F104 419 15215 SH DFND 1 0 15215 0 VANGUARD INDEX FDS GROWTH ETF 922908736 287 2578 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