Filing Details

Accession Number:
0001213900-20-003132
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-02-10 17:36:38
Reporting Period:
2020-02-06
Accepted Time:
2020-02-10 17:36:38
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 Blvd.
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
1642765 Brc Partners Opportunity Fund, Lp 11100 Santa Monica Blvd, Suite 800
Los Angeles CA 90025
No No Yes No
1658704 B. Riley Capital Management, Llc 11100 Santa Monica Blvd, Suite 800
Los Angeles CA 90025
No No Yes No
1749420 Brc Partners Management Gp, Llc 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 2020-02-06 240,608 $0.00 3,976,250 No 4 J Indirect See notes
Class A Common Stock Acquisiton 2020-02-06 74,400 $10.20 4,050,650 No 4 P Indirect See notes
Class A Common Stock Disposition 2020-02-06 67,075 $10.20 3,983,575 No 4 S Indirect See notes
Class A Common Stock Acquisiton 2020-02-06 129,831 $10.21 4,113,406 No 4 P Indirect See notes
Class A Common Stock Disposition 2020-02-06 108,107 $10.21 4,005,299 No 4 S Indirect See notes
Class A Common Stock Acquisiton 2020-02-06 157,073 $10.21 4,162,372 No 4 P Indirect See notes
Class A Common Stock Acquisiton 2020-02-07 48 $10.18 4,162,420 No 4 P Indirect See notes
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 J Indirect See notes
No 4 P Indirect See notes
No 4 S Indirect See notes
No 4 P Indirect See notes
No 4 S Indirect See notes
No 4 P 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"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), 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. BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP, and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. 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. On February 6, 2020, BRPLP redeemed 240,608 shares of Common Stock with the Issuer for cash at a price of $10.16 per share, as stated on the received redemption notice. As previously announced, the Issuer has scheduled a special meeting on February 11, 2020 in lieu of the 2020 annual meeting of its stockholders, to vote on the proposals (the "vote") relating to the Issuer's proposed business combination with Alta Equipment Holdings, Inc. Holders of shares of the Issuer's Common Stock were entitled to request that the Issuer redeem all or a portion of their public shares for cash in connection with the vote until February 7, 2020.
  4. Represents shares of Common Stock held directly by BRFBR. 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.
  5. Represents shares of Common Stock held directly by BRPLP.