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Form 13F-HR B. Riley Financial, Inc. For: Mar 31

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May 13, 2021 4:05 PM EDT

The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F

FORM 13F COVER PAGE
OMB APPROVAL
OMB Number: 3235-0006
Expires: July 31, 2015
Estimated average burden
hours per response: 23.8
Report for the Calendar Year or Quarter Ended: 03-31-2021
Check here if Amendment   Amendment Number:
This Amendment (Check only one.):   is a restatement.
  adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: B. Riley Financial, Inc.
Address: 11100 Santa Monica Blvd
Suite 800
Los Angeles , CA90025
Form 13F File Number: 028-17148

The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.

Person Signing this Report on Behalf of Reporting Manager:
Name: Michael Markunas
Title: Chief Compliance Officer
Phone: 310-689-2220
Signature, Place, and Date of Signing:
/s/ Michael Markunas Los Angeles , CA 05-13-2021
[Signature] [City, State] [Date]
Report Type (Check only one.):
X 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.)
  13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).)
  13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).)
Form 13F Summary Page
Report Summary:
Number of Other Included Managers: 2
Form 13F Information Table Entry Total: 49
Form 13F Information Table Value Total: 898,174
(thousands)
List of Other Managers Reporting for this Manager:
[If there are no entries in this list, omit this section.]
Form 13F File Number Name
028-14034 B. Riley Securities, Inc.
028-17147 B. RILEY CAPITAL MANAGEMENT, LLC

List of Other Included Managers:
Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report.
[If there are no entries in this list, state “NONE” and omit the column headings and list entries.]
No. Form 13F File Number Name
1 028-14034 B. Riley Securities, Inc.
2 028-17147 B. RILEY CAPITAL MANAGEMENT, LLC

The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F

FORM 13F INFORMATION TABLE
OMB APPROVAL
OMB Number: 3235-0006
Expires: July 31, 2015
Estimated average burden
hours per response: 23.8
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8
VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGER SOLE SHARED NONE
ALTA EQUIPMENT GROUP INC COMMON STOCK 02128L106 15,203 1,169,477 SH DFND 2 1,169,477 0 0
ALTA EQUIPMENT GROUP INC COMMON STOCK 02128L106 60,825 4,678,840 SH DFND 1 4,678,840 0 0
ALTA EQUIPMENT GROUP INC *W EXP 02/14/202 02128L114 722 206,250 SH DFND 206,250 0 0
ALTA EQUIPMENT GROUP INC *W EXP 02/14/202 02128L114 1,768 505,045 SH DFND 1 505,045 0 0
ALTA EQUIPMENT GROUP INC *W EXP 02/14/202 02128L114 2,408 688,125 SH DFND 2 688,125 0 0
B. RILEY FINANCIAL INC COM 05580M108 17,924 317,915 SH DFND 2 317,915 0 0
BABCOCK & WILCOX ENTERPRISES COM 05614L209 21,267 2,245,764 SH DFND 2 2,245,764 0 0
BABCOCK & WILCOX ENTERPRISES COM 05614L209 32,252 3,405,659 SH DFND 1 3,405,659 0 0
BABCOCK & WILCOX ENTERPRISES COM 05614L209 204,931 21,640,014 SH DFND 21,640,014 0 0
DCP MIDSTREAM LP COM UT LTD PTN 23311P100 590 27,252 SH DFND 1 27,252 0 0
EOS ENERGY ENTERPRISES INC COM CL A 29415C101 2,032 103,029 SH DFND 1 103,029 0 0
EOS ENERGY ENTERPRISES INC COM CL A 29415C101 7,691 390,000 SH DFND 2 390,000 0 0
EOS ENERGY ENTERPRISES INC COM CL A 29415C101 119,074 6,038,250 SH DFND 6,038,250 0 0
EOS ENERGY ENTERPRISES INC *W EXP 05/06/202 29415C119 225 25,000 SH DFND 2 25,000 0 0
EOS ENERGY ENTERPRISES INC *W EXP 05/06/202 29415C119 2,925 325,000 SH DFND 325,000 0 0
FRANCHISE GROUP INC COM 35180X105 20,239 560,494 SH DFND 2 560,494 0 0
FRANCHISE GROUP INC COM 35180X105 111,855 3,097,609 SH DFND 1 3,097,609 0 0
GOLAR LNG LTD NOTE 2.750% 2/1 38046YAB7 111 115,000 PRN DFND 1 115,000 0 0
INVESCO QQQ TR UNIT SER 1 46090E103 22,339 70,000 SH Put DFND 2 70,000 0 0
ISHARES TR RUSSELL 2000 ETF 464287655 15,466 70,000 SH Put DFND 2 70,000 0 0
KVH INDS INC COM 482738101 13 1,015 SH DFND 1 1,015 0 0
KVH INDS INC COM 482738101 2,536 200,000 SH DFND 2 200,000 0 0
LANDSEA HOMES CORP COM 51509P103 180 18,815 SH DFND 1 18,815 0 0
MARCHEX INC CL B 56624R108 4,360 1,551,550 SH DFND 1 1,551,550 0 0
180 DEGREE CAP CORP COM NEW 68235B208 758 102,455 SH DFND 1 102,455 0 0
PROSHARES TR ULTRAPRO SHT QQQ 74347G861 19,408 1,479,300 SH DFND 1,479,300 0 0
PROSHARES TR ULTRAPRO SHT QQQ 74347G861 31,488 2,400,000 SH DFND 1 2,400,000 0 0
QUANTUM CORP COM NEW 747906501 21,312 2,558,511 SH DFND 2 2,558,511 0 0
QUANTUM CORP COM NEW 747906501 49,889 5,989,100 SH DFND 1 5,989,100 0 0
ROMAN DBDR TECH ACQUISITION *W EXP 10/31/202 77584N119 193 254,539 SH DFND 1 254,539 0 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 27,743 70,000 SH Put DFND 2 70,000 0 0
SELECT INTERIOR CONCEPTS INC CL A 816120307 3,496 485,543 SH DFND 2 485,543 0 0
SELECT INTERIOR CONCEPTS INC CL A 816120307 19,890 2,762,457 SH DFND 1 2,762,457 0 0
SELECT ENERGY SVCS INC CL A COM 81617J301 50 10,000 SH DFND 1 10,000 0 0
SOFTWARE ACQUISITN GRUP INC COM CL A 83407F101 856 84,988 SH DFND 1 84,988 0 0
SONIM TECHNOLOGIES INC COM 83548F101 3,853 4,699,252 SH DFND 4,699,252 0 0
SONIM TECHNOLOGIES INC COM 83548F101 4,707 5,740,325 SH DFND 2 5,740,325 0 0
SPARTACUS ACQUISITION CORP *W EXP 10/31/202 84677L117 64 100,000 SH DFND 2 100,000 0 0
SUBURBAN PROPANE PARTNERS L UNIT LTD PARTN 864482104 934 63,000 SH DFND 1 63,000 0 0
AFRICAN GOLD ACQUISITION COR SHS CL A G0112R108 5,370 561,112 SH DFND 1 561,112 0 0
AFRICAN GOLD ACQUISITION COR UNIT 99/99/9999 G0112R116 7,515 760,619 SH DFND 1 760,619 0 0
AFRICAN GOLD ACQUISITION COR *W EXP 03/31/202 G0112R124 263 548,018 SH DFND 1 548,018 0 0
APOLLO STRATEGIC GRWT CPTL I UNIT 99/99/9999 G0412A110 1,992 199,598 SH DFND 1 199,598 0 0
HPX CORP SHS CL A G32219100 98 10,000 SH DFND 1 10,000 0 0
REINVENT TECHNOLOGY PARTNERS UNIT 03/12/2026 G7484L114 249 24,834 SH DFND 1 24,834 0 0
TUATARA CAPITAL ACQUISITN CO UNIT 99/99/9999 G9118J127 104 10,403 SH DFND 1 10,403 0 0
TWIN RIDGE CAPITAL ACQUIS CO UNIT 99/99/9999 G9151L112 129 13,010 SH DFND 1 13,010 0 0
GLOBAL SHIP LEASE INC NEW COM CL A Y27183600 5,877 416,840 SH DFND 2 416,840 0 0
GLOBAL SHIP LEASE INC NEW COM CL A Y27183600 24,999 1,772,984 SH DFND 1 1,772,984 0 0

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