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: |
09-30-2020 |
| 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
|
11-13-2020 |
| [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: |
33 |
|
Form 13F Information Table Value Total: |
380,056 |
|
(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 |
44,082 |
5,629,938 |
SH |
|
DFND |
|
5,629,938 |
0 |
0 |
| ALTA EQUIPMENT GROUP INC |
COMMON STOCK |
02128L106 |
1,710 |
218,379 |
SH |
|
DFND |
1 |
218,379 |
0 |
0 |
| ALTA EQUIPMENT GROUP INC |
*W EXP 02/14/202 |
02128L114 |
1,534 |
894,375 |
SH |
|
DFND |
|
894,375 |
0 |
0 |
| ALTA EQUIPMENT GROUP INC |
*W EXP 02/14/202 |
02128L114 |
808 |
505,045 |
SH |
|
DFND |
1 |
505,045 |
0 |
0 |
| B. RILEY FINANCIAL INC |
COM |
05580M108 |
4,415 |
176,187 |
SH |
|
DFND |
|
176,187 |
0 |
0 |
| B RILEY PRIN MERGER CORP II |
UNIT 99/99/9999 |
05600U205 |
7,455 |
700,000 |
SH |
|
DFND |
|
700,000 |
0 |
0 |
| BABCOCK & WILCOX ENTERPRISES |
COM |
05614L209 |
27,619 |
11,904,612 |
SH |
|
DFND |
|
11,904,612 |
0 |
0 |
| BABCOCK & WILCOX ENTERPRISES |
COM |
05614L209 |
5,305 |
2,286,664 |
SH |
|
DFND |
1 |
2,286,664 |
0 |
0 |
| CREXENDO INC |
COM |
226552107 |
1,883 |
336,927 |
SH |
|
DFND |
1 |
336,927 |
0 |
0 |
| ENERGY TRANSFER LP |
COM UT LTD PTN |
29273V100 |
217 |
40,000 |
SH |
|
DFND |
1 |
40,000 |
0 |
0 |
| FRANCHISE GROUP INC |
COM |
35180X105 |
17,155 |
676,471 |
SH |
|
DFND |
|
676,471 |
0 |
0 |
| FRANCHISE GROUP INC |
COM |
35180X105 |
98,168 |
3,870,991 |
SH |
|
DFND |
1 |
3,870,991 |
0 |
0 |
| GULF ISLAND FABRICATION INC |
COM |
402307102 |
1,355 |
433,026 |
SH |
|
DFND |
1 |
433,026 |
0 |
0 |
| HORIZON GLOBAL CORP |
NOTE 2.750% 7/0 |
44052WAA2 |
95 |
130,000 |
PRN |
|
DFND |
1 |
130,000 |
0 |
0 |
| INSEEGO CORP |
NOTE 3.250% 5/0 |
45782BAD6 |
58 |
60,000 |
PRN |
|
DFND |
1 |
60,000 |
0 |
0 |
| INVESCO QQQ TR |
UNIT SER 1 |
46090E103 |
41,676 |
150,000 |
SH |
Put |
DFND |
|
150,000 |
0 |
0 |
| LIBERTY LATIN AMERICA LTD |
NOTE 2.000% 7/1 |
53069QAB5 |
19 |
23,000 |
PRN |
|
DFND |
1 |
23,000 |
0 |
0 |
| NATIONAL HOLDINGS CORP |
COM NEW |
636375206 |
13,058 |
6,159,550 |
SH |
|
DFND |
|
6,159,550 |
0 |
0 |
| 180 DEGREE CAP CORP |
COM |
68235B109 |
1,345 |
711,604 |
SH |
|
DFND |
1 |
711,604 |
0 |
0 |
| PARK HOTELS RESORTS INC |
COM |
700517105 |
260 |
25,999 |
SH |
|
DFND |
1 |
25,999 |
0 |
0 |
| QUANTUM CORP |
COM NEW |
747906501 |
11,769 |
2,558,511 |
SH |
|
DFND |
|
2,558,511 |
0 |
0 |
| QUANTUM CORP |
COM NEW |
747906501 |
27,550 |
5,989,100 |
SH |
|
DFND |
1 |
5,989,100 |
0 |
0 |
| SELECT INTERIOR CONCEPTS INC |
CL A |
816120307 |
3,350 |
485,543 |
SH |
|
DFND |
|
485,543 |
0 |
0 |
| SELECT INTERIOR CONCEPTS INC |
CL A |
816120307 |
19,061 |
2,762,457 |
SH |
|
DFND |
1 |
2,762,457 |
0 |
0 |
| SOFTWARE ACQUISITION GROUP I |
COM CL A |
83406B101 |
917 |
92,054 |
SH |
|
DFND |
1 |
92,054 |
0 |
0 |
| SOFTWARE ACQUISITN GRUP INC |
UNIT 99/99/9999 |
83407F200 |
1,990 |
200,000 |
SH |
|
DFND |
|
200,000 |
0 |
0 |
| SOFTWARE ACQUISITN GRUP INC |
UNIT 99/99/9999 |
83407F200 |
15,832 |
1,591,128 |
SH |
|
DFND |
1 |
1,591,128 |
0 |
0 |
| SONIM TECHNOLOGIES INC |
COM |
83548F101 |
9,172 |
11,819,577 |
SH |
|
DFND |
|
11,819,577 |
0 |
0 |
| SPOK HLDGS INC |
COM |
84863T106 |
2,019 |
212,265 |
SH |
|
DFND |
1 |
212,265 |
0 |
0 |
| SUNCOKE ENERGY INC |
COM |
86722A103 |
3,420 |
1,000,000 |
SH |
|
DFND |
1 |
1,000,000 |
0 |
0 |
| NETFIN ACQUISITION CORP |
SHS CL A |
G6455A107 |
1,604 |
154,710 |
SH |
|
DFND |
1 |
154,710 |
0 |
0 |
| GLOBAL SHIP LEASE INC NEW |
COM CL A |
Y27183600 |
2,876 |
416,840 |
SH |
|
DFND |
|
416,840 |
0 |
0 |
| GLOBAL SHIP LEASE INC NEW |
COM CL A |
Y27183600 |
12,278 |
1,779,384 |
SH |
|
DFND |
1 |
1,779,384 |
0 |
0 |
