Form 13F-HR B. Riley Financial, Inc. For: Mar 31
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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: |
03-31-2022 |
| 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: |
Bryant R. Riley |
| Title: |
Co-Chief Executive Officer |
| Phone: |
310-966-1444 |
| Signature, Place, and Date of Signing: |
| /s/ Bryant R. Riley |
Los Angeles
,
CA
|
05-10-2022 |
| [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: |
1 |
|
|
|
Form 13F Information Table Entry Total: |
56 |
|
Form 13F Information Table Value Total: |
578,902 |
|
(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. |
| 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. |
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 |
69,689 |
5,638,247 |
SH |
|
DFND |
1 |
5,638,247 |
0 |
0 |
| APPHARVEST INC |
COM |
03783T103 |
617 |
114,874 |
SH |
|
DFND |
|
114,874 |
0 |
0 |
| THE ARENA GROUP HOLDINGS INC |
COM |
040044109 |
37,185 |
3,433,532 |
SH |
|
DFND |
|
3,433,532 |
0 |
0 |
| THE ARENA GROUP HOLDINGS INC |
COM |
040044109 |
12,555 |
1,159,261 |
SH |
|
DFND |
1 |
1,159,261 |
0 |
0 |
| B RILEY PRINCIPAL 150 MERGER |
UNIT 99/99/9999 |
05601V202 |
5,372 |
520,000 |
SH |
|
DFND |
|
520,000 |
0 |
0 |
| B RILEY PRIN 250 MERGER CORP |
UNIT 04/06/2026 |
05602L203 |
5,994 |
600,000 |
SH |
|
DFND |
|
600,000 |
0 |
0 |
| BABCOCK & WILCOX ENTERPRISES |
COM |
05614L209 |
111,911 |
13,714,574 |
SH |
|
DFND |
|
13,714,574 |
0 |
0 |
| BABCOCK & WILCOX ENTERPRISES |
COM |
05614L209 |
92,462 |
11,331,099 |
SH |
|
DFND |
1 |
11,331,099 |
0 |
0 |
| CADIZ INC |
COM NEW |
127537207 |
1,645 |
794,723 |
SH |
|
DFND |
1 |
794,723 |
0 |
0 |
| CHARAH SOLUTIONS INC |
COM |
15957P105 |
14,416 |
2,888,889 |
SH |
|
DFND |
1 |
2,888,889 |
0 |
0 |
| COGNITION THERAPEUTICS INC |
COM |
19243B102 |
85 |
30,904 |
SH |
|
DFND |
1 |
30,904 |
0 |
0 |
| COLOMBIER ACQUISITION CORP |
*W EXP 99/99/999 |
19533H116 |
38 |
136,281 |
SH |
|
DFND |
1 |
136,281 |
0 |
0 |
| COMPOSECURE INC |
COM CL A |
20459V105 |
1,489 |
196,176 |
SH |
|
DFND |
1 |
196,176 |
0 |
0 |
| DOUBLEDOWN INTERACTIVE CO LT |
ADS |
25862B109 |
45,086 |
3,801,523 |
SH |
|
DFND |
|
3,801,523 |
0 |
0 |
| DOUBLEDOWN INTERACTIVE CO LT |
ADS |
25862B109 |
627 |
52,917 |
SH |
|
DFND |
1 |
52,917 |
0 |
0 |
| EOS ENERGY ENTERPRISES INC |
COM CL A |
29415C101 |
22,446 |
5,369,778 |
SH |
|
DFND |
|
5,369,778 |
0 |
0 |
| EOS ENERGY ENTERPRISES INC |
*W EXP 05/06/202 |
29415C119 |
361 |
325,000 |
SH |
|
DFND |
|
325,000 |
0 |
0 |
| EXELA TECHNOLOGIES INC |
COM NEW |
30162V409 |
14,741 |
35,419,029 |
SH |
|
DFND |
1 |
35,419,029 |
0 |
0 |
| FRANCHISE GROUP INC |
COM |
35180X105 |
6,380 |
154,000 |
SH |
|
DFND |
1 |
154,000 |
0 |
0 |
| GARRETT MOTION INC |
PFD CONV SER A |
366505204 |
378 |
45,701 |
SH |
|
DFND |
1 |
45,701 |
0 |
0 |
| IMEDIA BRANDS INC |
COM CL A |
452465206 |
554 |
91,911 |
SH |
|
DFND |
1 |
91,911 |
0 |
0 |
| IN8BIO INC |
COM |
45674E109 |
858 |
257,513 |
SH |
|
DFND |
1 |
257,513 |
0 |
0 |
| INSPIRED ENTMT INC |
COM |
45782N108 |
3,495 |
284,161 |
SH |
|
DFND |
|
284,161 |
0 |
0 |
| INNOVATE CORP |
COM |
45784J105 |
10,042 |
2,721,425 |
SH |
|
DFND |
|
2,721,425 |
0 |
0 |
| INNOVATE CORP |
COM |
45784J105 |
2,102 |
569,558 |
SH |
|
DFND |
1 |
569,558 |
0 |
0 |
| JOURNEY MED CORP |
COM |
48115J109 |
4,176 |
864,695 |
SH |
|
DFND |
1 |
864,695 |
0 |
0 |
| LAZYDAYS HLDGS INC |
COM |
52110H100 |
14,102 |
698,791 |
SH |
|
DFND |
|
698,791 |
0 |
0 |
| LAZYDAYS HLDGS INC |
COM |
52110H100 |
7,577 |
375,485 |
SH |
|
DFND |
1 |
375,485 |
0 |
0 |
| LIFEMD INC |
COM |
53216B104 |
4,239 |
1,200,759 |
SH |
|
DFND |
1 |
1,200,759 |
0 |
0 |
| MARCHEX INC |
CL B |
56624R108 |
3,523 |
1,538,289 |
SH |
|
DFND |
|
1,538,289 |
0 |
0 |
| MARCHEX INC |
CL B |
56624R108 |
3,387 |
1,479,207 |
SH |
|
DFND |
1 |
1,479,207 |
0 |
0 |
| MINIM INC |
COM |
60365W102 |
1,127 |
1,565,364 |
SH |
|
DFND |
1 |
1,565,364 |
0 |
0 |
| NEXTNAV INC |
COMMON STOCK |
65345N106 |
4,555 |
608,125 |
SH |
|
DFND |
1 |
608,125 |
0 |
0 |
| NEXTNAV INC |
*W EXP 10/28/202 |
65345N114 |
76 |
40,000 |
SH |
|
DFND |
1 |
40,000 |
0 |
0 |
| 180 DEGREE CAP CORP |
COM NEW |
68235B208 |
279 |
40,755 |
SH |
|
DFND |
1 |
40,755 |
0 |
0 |
| PERPETUA RESOURCES CORP |
COM |
714266103 |
3,010 |
734,122 |
SH |
|
DFND |
|
734,122 |
0 |
0 |
| PERPETUA RESOURCES CORP |
COM |
714266103 |
7,975 |
1,945,000 |
SH |
|
DFND |
1 |
1,945,000 |
0 |
0 |
| PROSHARES TR |
ULTRAPRO SHT QQQ |
74347G432 |
18,182 |
540,000 |
SH |
|
DFND |
1 |
540,000 |
0 |
0 |
| PROPERTY SOLUTIONS ACQUISITI |
UNIT 03/01/2026 |
74350A207 |
907 |
92,654 |
SH |
|
DFND |
1 |
92,654 |
0 |
0 |
| QUANTUM CORP |
COM NEW |
747906501 |
1,419 |
625,000 |
SH |
|
DFND |
1 |
625,000 |
0 |
0 |
| QUANTUM CORP |
COM NEW |
747906501 |
8,742 |
3,851,082 |
SH |
|
DFND |
|
3,851,082 |
0 |
0 |
| QUANTUM CORP |
COM NEW |
747906501 |
545 |
240,073 |
SH |
|
DFND |
1 |
240,073 |
0 |
0 |
| REDWOODS ACQUISITION CORP |
UNIT 03/15/2027 |
758083208 |
495 |
49,350 |
SH |
|
DFND |
1 |
49,350 |
0 |
0 |
| SEQUANS COMMUNICATIONS S A |
SPONSORED ADS |
817323207 |
3,369 |
1,108,333 |
SH |
|
DFND |
1 |
1,108,333 |
0 |
0 |
| SIGNAL HILL ACQUISITION CORP |
UNIT 02/10/2027 |
82664R204 |
1,256 |
125,702 |
SH |
|
DFND |
1 |
125,702 |
0 |
0 |
| SYNCHRONOSS TECHNOLOGIES INC |
COM |
87157B103 |
20,192 |
11,671,579 |
SH |
|
DFND |
1 |
11,671,579 |
0 |
0 |
| TILE SHOP HLDGS INC |
COM |
88677Q109 |
8,870 |
1,354,163 |
SH |
|
DFND |
|
1,354,163 |
0 |
0 |
| AFRICAN GOLD ACQUISITION COR |
*W EXP 03/31/202 |
G0112R124 |
132 |
661,700 |
SH |
|
DFND |
1 |
661,700 |
0 |
0 |
| ALSP ORCHID ACQUISITION CORP |
*W EXP 11/03/202 |
G0231L123 |
9 |
37,000 |
SH |
|
DFND |
1 |
37,000 |
0 |
0 |
| CRESCERA CAP ACQUISITION COR |
*W EXP 11/18/202 |
G26507114 |
11 |
31,800 |
SH |
|
DFND |
1 |
31,800 |
0 |
0 |
| CRYPTO 1 ACQUISTION CORP |
*W EXP 04/30/202 |
G3168A110 |
13 |
49,894 |
SH |
|
DFND |
1 |
49,894 |
0 |
0 |
| HPX CORP |
SHS CL A |
G32219100 |
99 |
10,000 |
SH |
|
DFND |
1 |
10,000 |
0 |
0 |
| INFINT ACQUISITION CORP |
*W EXP 99/99/999 |
G47862126 |
17 |
100,000 |
SH |
|
DFND |
1 |
100,000 |
0 |
0 |
| KISMET ACQUISITION THREE COR |
*W EXP 06/30/202 |
G5276C102 |
12 |
70,181 |
SH |
|
DFND |
1 |
70,181 |
0 |
0 |
| MOTIVE CAPITAL CORP II |
*W EXP 99/99/999 |
G6293R114 |
28 |
67,823 |
SH |
|
DFND |
1 |
67,823 |
0 |
0 |
| VAHANNA TECH EDGE ACQSTN I C |
*W EXP 11/30/202 |
G9320Z117 |
52 |
149,670 |
SH |
|
DFND |
1 |
149,670 |
0 |
0 |
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