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Form 13F-HR B. Riley Financial, Inc. For: Jun 30

August 10, 2022 4:26 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: 06-30-2022
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 08-10-2022
[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: 84
Form 13F Information Table Value Total: 448,095
(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
ADARA ACQUISITION CORP COM CL A 00653H102 371 37,500 SH DFND 1 37,500 0 0
AETHERIUM ACQUISITION CORP CLASS A COM 00809J101 691 69,700 SH DFND 1 69,700 0 0
ALLEGIANCE BANCSHARES INC COM 01748H107 223 5,913 SH DFND 1 5,913 0 0
ALTA EQUIPMENT GROUP INC COMMON STOCK 02128L106 53,529 5,967,565 SH DFND 1 5,967,565 0 0
APPLIED BLOCKCHAIN INC COM NEW 038169207 64 61,426 SH DFND 1 61,426 0 0
THE ARENA GROUP HOLDINGS INC COM 040044109 30,902 3,433,532 SH DFND 3,433,532 0 0
THE ARENA GROUP HOLDINGS INC COM 040044109 10,433 1,159,261 SH DFND 1 1,159,261 0 0
B RILEY PRINCIPAL 150 MERGER UNIT 99/99/9999 05601V202 5,252 520,000 SH DFND 520,000 0 0
B RILEY PRIN 250 MERGER CORP UNIT 04/06/2026 05602L203 5,892 600,000 SH DFND 600,000 0 0
BABCOCK & WILCOX ENTERPRISES COM 05614L209 82,699 13,714,574 SH DFND 13,714,574 0 0
BABCOCK & WILCOX ENTERPRISES COM 05614L209 69,533 11,531,099 SH DFND 1 11,531,099 0 0
BROAD CAPITAL ACQUISITION CO COM 11125B102 396 40,000 SH DFND 1 40,000 0 0
CADIZ INC COM NEW 127537207 932 400,000 SH DFND 1 400,000 0 0
CHARAH SOLUTIONS INC COM 15957P105 10,804 2,888,889 SH DFND 1 2,888,889 0 0
CHEGG INC NOTE 0.125% 3/1 163092AD1 38 45,000 SH DFND 1 45,000 0 0
COGNITION THERAPEUTICS INC COM 19243B102 65 30,904 SH DFND 1 30,904 0 0
COLOMBIER ACQUISITION CORP *W EXP 99/99/999 19533H116 14 136,281 SH DFND 1 136,281 0 0
CORE SCIENTIFIC INC COMMON STOCK 21873J108 984 660,462 SH DFND 1 660,462 0 0
DPCM CAP INC COM CL A 23344P101 669 67,483 SH DFND 1 67,483 0 0
DOUBLEDOWN INTERACTIVE CO LT ADS 25862B109 36,723 3,801,523 SH DFND 3,801,523 0 0
DOUBLEDOWN INTERACTIVE CO LT ADS 25862B109 511 52,917 SH DFND 1 52,917 0 0
EOS ENERGY ENTERPRISES INC COM CL A 29415C101 6,497 5,369,778 SH DFND 5,369,778 0 0
EOS ENERGY ENTERPRISES INC *W EXP 05/06/202 29415C119 120 325,000 SH DFND 325,000 0 0
EXELA TECHNOLOGIES INC COM NEW 30162V409 4,118 36,000,000 SH DFND 1 36,000,000 0 0
FRANCHISE GROUP INC COM 35180X105 5,100 145,412 SH DFND 145,412 0 0
FRANCHISE GROUP INC COM 35180X105 12,435 354,588 SH DFND 1 354,588 0 0
FUBOTV INC NOTE 3.250% 2/1 35953DAB0 31 100,000 SH DFND 1 100,000 0 0
GAP INC COM 364760108 1,865 226,380 SH DFND 226,380 0 0
GARRETT MOTION INC PFD CONV SER A 366505204 369 44,895 SH DFND 1 44,895 0 0
GREENIDGE GENERATION HLDGS I CLASS A COM 39531G100 40 15,800 SH DFND 15,800 0 0
HEALTHCARE SERVICES ACQU COR *W EXP 99/99/999 42227K112 13 132,050 SH DFND 1 132,050 0 0
IMEDIA BRANDS INC COM CL A 452465206 111 91,911 SH DFND 1 91,911 0 0
IN8BIO INC COM 45674E109 582 257,513 SH DFND 1 257,513 0 0
INSPIRED ENTMT INC COM 45782N108 2,447 284,161 SH DFND 284,161 0 0
INSPIRED ENTMT INC COM 45782N108 7,427 862,651 SH DFND 1 862,651 0 0
INSPIRED ENTMT INC COM 45782N108 215 25,000 SH DFND 25,000 0 0
INNOVATE CORP COM 45784J105 4,708 2,721,425 SH DFND 2,721,425 0 0
INNOVATE CORP COM 45784J105 1,870 1,081,029 SH DFND 1 1,081,029 0 0
INNOVATE CORP COM 45784J105 40 22,904 SH DFND 22,904 0 0
JOURNEY MED CORP COM 48115J109 3,234 864,695 SH DFND 1 864,695 0 0
KNIGHTSCOPE INC CLASS A COM 49907V102 75 24,851 SH DFND 24,851 0 0
LAZYDAYS HLDGS INC COM 52110H100 8,232 698,791 SH DFND 698,791 0 0
LAZYDAYS HLDGS INC COM 52110H100 9,417 799,425 SH DFND 1 799,425 0 0
LAZYDAYS HLDGS INC COM 52110H100 2,826 239,909 SH DFND 239,909 0 0
LIBERTY LATIN AMERICA LTD NOTE 2.000% 7/1 53069QAB5 135 156,000 SH DFND 1 156,000 0 0
LIFEMD INC COM 53216B104 2,348 1,150,759 SH DFND 1 1,150,759 0 0
LIVEVOX HOLDING INC COM CL A 53838L100 30 18,000 SH DFND 1 18,000 0 0
MARCHEX INC CL B 56624R108 2,031 1,538,289 SH DFND 1,538,289 0 0
MARCHEX INC CL B 56624R108 1,953 1,479,207 SH DFND 1 1,479,207 0 0
MINIM INC COM 60365W102 630 1,565,364 SH DFND 1 1,565,364 0 0
MURPHY OIL CORP COM 626717102 777 25,727 SH DFND 1 25,727 0 0
NEXTNAV INC COMMON STOCK 65345N106 7,128 3,140,071 SH DFND 1 3,140,071 0 0
NEXTNAV INC COMMON STOCK 65345N106 454 199,912 SH DFND 199,912 0 0
NEXTNAV INC *W EXP 10/28/202 65345N114 17 40,000 SH DFND 1 40,000 0 0
PERPETUA RESOURCES CORP COM 714266103 2,430 734,122 SH DFND 734,122 0 0
PERPETUA RESOURCES CORP COM 714266103 6,098 1,842,389 SH DFND 1 1,842,389 0 0
PROPERTY SOLUTIONS ACQUISITI UNIT 03/01/2026 74350A207 904 92,654 SH DFND 1 92,654 0 0
QUANTUM CORP COM NEW 747906501 5,330 3,753,578 SH DFND 3,753,578 0 0
QUANTUM CORP COM NEW 747906501 3,078 2,167,881 SH DFND 1 2,167,881 0 0
REDWIRE CORPORATION COM 75776W103 277 91,189 SH DFND 91,189 0 0
SEQUANS COMMUNICATIONS S A SPONSORED ADS 817323207 2,027 753,485 SH DFND 1 753,485 0 0
SYNCHRONOSS TECHNOLOGIES INC COM 87157B103 13,893 12,080,499 SH DFND 1 12,080,499 0 0
TEEKAY CORPORATION NOTE 5.000% 1/1 87900YAE3 15 15,000 SH DFND 1 15,000 0 0
TILE SHOP HLDGS INC COM 88677Q109 4,068 1,325,040 SH DFND 1,325,040 0 0
TRANSACT TECHNOLOGIES INC COM 892918103 3,910 982,407 SH DFND 1 982,407 0 0
UNISYS CORP COM NEW 909214306 2,763 229,652 SH DFND 1 229,652 0 0
VICTORIAS SECRET AND CO COMMON STOCK 926400102 2,189 78,270 SH DFND 78,270 0 0
YOTTA ACQUISITION CORPORATIO COMMON STOCK 98741Y103 652 66,368 SH DFND 1 66,368 0 0
YOTTA ACQUISITION CORPORATIO *W EXP 03/15/202 98741Y111 5 66,368 SH DFND 1 66,368 0 0
YOTTA ACQUISITION CORPORATIO RIGHT 03/15/2027 98741Y129 5 66,368 SH DFND 1 66,368 0 0
AFRICAN GOLD ACQUISITION COR *W EXP 03/31/202 G0112R124 53 661,600 SH DFND 1 661,600 0 0
ALSP ORCHID ACQUISITION CORP *W EXP 11/03/202 G0231L123 4 37,000 SH DFND 1 37,000 0 0
AUSTERLITZ ACQUISITION CORP COM CL A G0633U101 644 66,053 SH DFND 1 66,053 0 0
COVA ACQUISITION CORP *W EXP 02/05/202 G2554Y120 2 20,450 SH DFND 1 20,450 0 0
CRESCERA CAP ACQUISITION COR *W EXP 11/18/202 G26507114 5 31,800 SH DFND 1 31,800 0 0
EAST STONE ACQUISITION CORP SHS G2911D108 107 10,400 SH DFND 1 10,400 0 0
CRYPTO 1 ACQUISTION CORP *W EXP 04/30/202 G3168A110 6 46,236 SH DFND 1 46,236 0 0
HPX CORP SHS CL A G32219100 100 10,000 SH DFND 1 10,000 0 0
INFINT ACQUISITION CORP *W EXP 99/99/999 G47862126 6 100,000 SH DFND 1 100,000 0 0
KISMET ACQUISITION THREE COR *W EXP 06/30/202 G5276C102 6 159,017 SH DFND 1 159,017 0 0
KISMET ACQUISITION THREE COR CL A SHARES G5276C110 1,005 102,834 SH DFND 1 102,834 0 0
KISMET ACQUISITION TWO CORP CL A SHS G52807107 361 36,944 SH DFND 1 36,944 0 0
VAHANNA TECH EDGE ACQSTN I C *W EXP 11/30/202 G9320Z117 26 160,070 SH DFND 1 160,070 0 0
VY GLOBAL GROWTH COM CL A G9444H100 126 12,780 SH DFND 1 12,780 0 0


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