0001615774-19-002054.txt : 20190207
0001615774-19-002054.hdr.sgml : 20190207
20190207162002
ACCESSION NUMBER: 0001615774-19-002054
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20181231
FILED AS OF DATE: 20190207
DATE AS OF CHANGE: 20190207
EFFECTIVENESS DATE: 20190207
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: 19575418
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
12-31-2018
12-31-2018
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
02-07-2018
0
103
181248
INFORMATION TABLE
2
infotable.xml
A10 NETWORKS INC
COM
002121101
321
51500
SH
DFND
51500
0
0
AEHR TEST SYSTEMS
COM
00760J108
324
230000
SH
DFND
230000
0
0
ALIBABA GROUP HLDG LTD
PUT
01609W952
8910
65000
SH
Put
DFND
65000
0
0
ALIMERA SCIENCES INC
COM
016259103
309
430600
SH
DFND
430600
0
0
AMERICAN RLTY CAP PPTYS INC
NOTE 3.750%12/1
02917TAB0
103
105000
PRN
DFND
105000
0
0
AMYRIS INC
COM NEW
03236M200
321
96156
SH
DFND
96156
0
0
ARCHROCK INC
COM
03957W106
543
72466
SH
DFND
72466
0
0
AROTECH CORP
COM NEW
042682203
403
153717
SH
DFND
153717
0
0
AUDIOEYE INC
COM NEW
050734201
2011
235200
SH
DFND
235200
0
0
BBX CAP CORP NEW
CL A
05491N104
573
100000
SH
DFND
100000
0
0
BABCOCK & WILCOX ENTERPRIS I
COM
05614L100
4259
10908713
SH
DFND
10908713
0
0
BEIGENE LTD
PUT
07725L952
351
2500
SH
Put
DFND
2500
0
0
BRUNSWICK CORP
COM
117043109
232
5000
SH
DFND
5000
0
0
BUILD A BEAR WORKSHOP
COM
120076104
1185
300000
SH
DFND
300000
0
0
CNO FINL GROUP INC
COM
12621E103
701
47129
SH
DFND
47129
0
0
CDN IMPERIAL BK COMM TORONTO
PUT
136069951
745
10000
SH
Put
DFND
10000
0
0
CANADIAN SOLAR INC
NOTE 4.250% 2/1
136635AE9
59
60000
PRN
DFND
60000
0
0
CARTERS INC
COM
146229109
298
3650
SH
DFND
3650
0
0
CENTURY CMNTYS INC
COM
156504300
440
25503
SH
DFND
25503
0
0
CHILDRENS PL INC
COM
168905107
262
2903
SH
DFND
2903
0
0
CLIPPER RLTY INC
COM
18885T306
463
35406
SH
DFND
35406
0
0
COHU INC
COM
192576106
344
21378
SH
DFND
21378
0
0
COLONY CAP INC
NOTE 5.000% 4/1
19624RAA4
44
50000
PRN
DFND
50000
0
0
CORCEPT THERAPEUTICS INC
PUT
218352952
334
25000
SH
Put
DFND
25000
0
0
EAGLE BANCORP MONT INC
COM
26942G100
216
13090
SH
DFND
13090
0
0
ECO STIM ENERGY SOLUTIONS IN
COM
27888D101
71
1093129
SH
DFND
1093129
0
0
ENANTA PHARMACEUTICALS INC
PUT
29251M956
1062
15000
SH
Put
DFND
15000
0
0
FS KKR CAPITAL CORP
COM
302635107
130
25000
SH
DFND
25000
0
0
FLOTEK INDS INC DEL
COM
343389102
82
75000
SH
DFND
75000
0
0
FRANCESCAS HLDGS CORP
COM
351793104
19
20000
SH
DFND
20000
0
0
GW PHARMACEUTICALS PLC
ADS
36197T103
243
2500
SH
DFND
2500
0
0
GW PHARMACEUTICALS PLC
PUT
36197T953
4139
42500
SH
Put
DFND
42500
0
0
GENERAL ELECTRIC CO
PUT
369604953
3028
400000
SH
Put
DFND
400000
0
0
GENTHERM INC
COM
37253A103
359
8991
SH
DFND
8991
0
0
GOPRO INC
NOTE 3.500% 4/1
38268TAB9
205
250000
PRN
DFND
250000
0
0
GRANITE CONSTR INC
COM
387328107
284
7044
SH
DFND
7044
0
0
GREAT ELM CAP CORP
COM
390320109
261
33200
SH
DFND
33200
0
0
HC2 HLDGS INC
COM
404139107
11687
4426797
SH
DFND
4426797
0
0
HF FOODS GROUP INC
COM
40417F109
146
11000
SH
DFND
11000
0
0
HANNON ARMSTRONG SUST INFR C
COM
41068X100
651
34195
SH
DFND
34195
0
0
HANNON ARMSTRONG SUST INFR C
NOTE 4.125% 9/0
41068XAB6
75
83000
PRN
DFND
83000
0
0
HEALTH INS INNOVATIONS INC
COM CL A
42225K106
5122
191620
SH
DFND
191620
0
0
HERCULES CAPITAL INC
DBCV 4.375% 2/0
427096AF9
76
80000
PRN
DFND
80000
0
0
HORIZON GLOBAL CORP
NOTE 2.750% 7/0
44052WAA2
8
15000
PRN
DFND
15000
0
0
I D SYSTEMS INC
COM
449489103
3004
537345
SH
DFND
537345
0
0
IMMERSION CORP
COM
452521107
170
19000
SH
DFND
19000
0
0
INDUSTRIAL LOGISTICS PPTYS T
COM SHS BEN INT
456237106
398
20234
SH
DFND
20234
0
0
ISHARES TR
RUSSELL 2000 ETF
464287655
1339
10000
SH
DFND
10000
0
0
ISHARES TR
PUT
464287955
9373
70000
SH
Put
DFND
70000
0
0
ITERIS INC
COM
46564T107
339
90784
SH
DFND
90784
0
0
KEMET CORP
COM NEW
488360207
263
15000
SH
DFND
15000
0
0
KINDRED BIOSCIENCES INC
COM
494577109
274
25000
SH
DFND
25000
0
0
KOPPERS HOLDINGS INC
COM
50060P106
276
16225
SH
DFND
16225
0
0
LEGACY HOUSING CORP
COM
52472M101
8767
734857
SH
DFND
734857
0
0
LIMELIGHT NETWORKS INC
COM
53261M104
240
102535
SH
DFND
102535
0
0
LONESTAR RES US INC
CL A VTG
54240F103
8870
2430251
SH
DFND
2430251
0
0
LUMENTUM HLDGS INC
COM
55024U109
350
8325
SH
DFND
8325
0
0
MATTHEWS INTL CORP
CL A
577128101
395
9735
SH
DFND
9735
0
0
MAXWELL TECHNOLOGIES INC
COM
577767106
207
100000
SH
DFND
100000
0
0
MEDALLION FINL CORP
COM
583928106
972
207350
SH
DFND
207350
0
0
MICRON TECHNOLOGY INC
NOTE 3.000%11/1
595112AY9
40
36500
PRN
DFND
36500
0
0
NXP SEMICONDUCTORS N V
NOTE 1.000%12/0
62952QAB6
85
85000
PRN
DFND
85000
0
0
NATIONAL HOLDINGS CORP
COM NEW
636375206
8127
3010054
SH
DFND
3010054
0
0
NOVAVAX INC
COM
670002104
796
432344
SH
DFND
432344
0
0
180 DEGREE CAP CORP
COM
68235B109
278
158894
SH
DFND
158894
0
0
OSIRIS THERAPEUTICS INC NEW
COM
68827R108
338
25000
SH
DFND
25000
0
0
PREFERRED BK LOS ANGELES CA
COM NEW
740367404
373
8597
SH
DFND
8597
0
0
PRIMO WTR CORP
COM
74165N105
386
27576
SH
DFND
27576
0
0
QUANTUM CORP
COM NEW
747906501
8253
4126667
SH
DFND
4126667
0
0
RANGER ENERGY SVCS INC
COM CL A
75282U104
4584
886726
SH
DFND
886726
0
0
RUBICON PROJ INC
COM
78112V102
6523
1748760
SH
DFND
1748760
0
0
S&W SEED CO
COM
785135104
281
155024
SH
DFND
155024
0
0
SACHEM CAP CORP
COM
78590A109
1548
395987
SH
DFND
395987
0
0
SANOFI
RIGHT 12/31/2020
80105N113
101
211405
SH
DFND
211405
0
0
SEACHANGE INTL INC
COM
811699107
107
85000
SH
DFND
85000
0
0
SEACOAST BKG CORP FLA
COM NEW
811707801
384
14741
SH
DFND
14741
0
0
SEATTLE GENETICS INC
PUT
812578952
425
7500
SH
Put
DFND
7500
0
0
SELECT INTERIOR CONCEPTS INC
CL A
816120307
23024
3061687
SH
DFND
3061687
0
0
SELECT ENERGY SVCS INC
CL A COM
81617J301
447
70717
SH
DFND
70717
0
0
SOUTHWESTERN ENERGY CO
COM
845467109
286
83766
SH
DFND
83766
0
0
SPECTRUM PHARMACEUTICALS INC
COM
84763A108
222
25360
SH
DFND
25360
0
0
SPIRIT RLTY CAP INC NEW
NOTE 2.875% 5/1
84860WAA0
69
69000
PRN
DFND
69000
0
0
STARWOOD PPTY TR INC
NOTE 4.375% 4/0
85571BAH8
85
86000
PRN
DFND
86000
0
0
SYNCHRONOSS TECHNOLOGIES INC
COM
87157B103
154
25000
SH
DFND
25000
0
0
TELENAV INC
COM
879455103
376
92500
SH
DFND
92500
0
0
TEMPUR SEALY INTL INC
COM
88023U101
3963
95736
SH
DFND
95736
0
0
TEMPUR SEALY INTL INC
CALL
88023U901
828
20000
SH
Call
DFND
20000
0
0
TESLA INC
PUT
88160R951
13312
40000
SH
Put
DFND
40000
0
0
THESTREET INC
COM
88368Q103
7745
3815261
SH
DFND
3815261
0
0
TIVO CORP
COM
88870P106
783
83179
SH
DFND
83179
0
0
TRAVELCENTERS AMER LLC
COM
894174101
1067
283846
SH
DFND
283846
0
0
TRUECAR INC
COM
89785L107
766
84545
SH
DFND
84545
0
0
UMH PPTYS INC
COM
903002103
355
30004
SH
DFND
30004
0
0
US XPRESS ENTERPRISES INC
COM CL A
90338N202
1626
289909
SH
DFND
289909
0
0
U.S. AUTO PARTS NETWORK INC
COM
90343C100
168
185067
SH
DFND
185067
0
0
VANECK VECTORS ETF TR
PUT
92189F956
2618
30000
SH
Put
DFND
30000
0
0
VERASTEM INC
COM
92337C104
583
173441
SH
DFND
173441
0
0
VERSO CORP
CL A
92531L207
332
14838
SH
DFND
14838
0
0
VIASAT INC
COM
92552V100
364
6177
SH
DFND
6177
0
0
VITAMIN SHOPPE INC
NOTE 2.250%12/0
92849EAB7
180
191000
PRN
DFND
191000
0
0
MALLINCKRODT PUB LTD CO
PUT
G5785G957
1975
125000
SH
Put
DFND
125000
0
0
POINTER TELOCATION LTD
SHS
M7946T104
395
32398
SH
DFND
32398
0
0
GLOBAL SHIP LEASE INC NEW
SHS A
Y27183105
259
417914
SH
DFND
417914
0
0