Filing Details

Accession Number:
0001213900-20-001362
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-01-17 19:45:59
Reporting Period:
2020-01-15
Accepted Time:
2020-01-17 19:45:59
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1759824 B. Riley Principal Merger Corp. BRPM Services-Business Services, Nec (7389) DE
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1464790 B. Riley Financial, Inc. 21255 Burbank Boulevard, Suite 400
Woodland Hills, CA 91367
No No Yes No
1505748 B. Riley Fbr, Inc. 11100 Santa Monica Blvd Suite 800
Los Angeles CA 90025
No No Yes No
1772457 B. Riley Principal Sponsor Co., Llc 299 Park Avenue, 21St Floor
New York, NY 10171
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Class A Common Stock Disposition 2020-01-15 15,000 $10.19 0 No 4 S Indirect See notes
Class A Common Stock Disposition 2020-01-15 185,000 $10.18 0 No 4 S Indirect See notes
Class A Common Stock Acquisiton 2020-01-15 250,000 $10.19 0 No 4 P Indirect See notes
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect See notes
No 4 S Indirect See notes
No 4 P Indirect See notes
Footnotes
  1. In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by B. Riley Principal Sponsor Co., LLC (the "Sponsor") and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of B. Riley Principal Merger Corp, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein.
  2. The shares of the Issuer purchased or sold in the listed transactions were held directly by BRFBR. BRF is the parent company of BRFBR and the sole member of the managing member of the Sponsor and has voting and dispositive power over the securities held by each of BRFBR and the Sponsor. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR and the Sponsor.
  3. BRFBR is a FINRA registered broker dealer and market maker. The transactions reported herein reflect executions in which BRFBR had no direct or indirect beneficial interest. Such transactions were executed in furtherance of BRFBR's bona-fide market making activities. As part of its bona-fide market making activities, BRFBR may hold long or short positions overnight.