Filing Details
- Accession Number:
- 0001213900-20-010218
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2020-04-27 18:46:10
- Reporting Period:
- 2020-02-28
- Accepted Time:
- 2020-04-27 18:46:10
- Original Submission Date:
- 2020-03-03
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1759824 | Alta Equipment Group Inc. | ALTG | 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 | |
| 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 | |
| 1776226 | B. Riley Principal Investments, Llc | 21255 Burbank Boulevard Suite 400 Woodland Hills CA 91367 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2020-02-28 | 29,600 | $8.87 | 5,476,139 | No | 4 | P | Indirect | See notes |
| Common Stock | Acquisiton | 2020-03-02 | 90,060 | $8.65 | 5,566,199 | No | 4 | P | Indirect | See notes |
| Common Stock | Acquisiton | 2020-03-03 | 21,421 | $8.45 | 5,587,620 | No | 4 | P | Indirect | See notes |
| Common Stock | Acquisiton | 2020-03-03 | 167,209 | $8.40 | 5,754,829 | No | 4 | P | Indirect | See notes |
| Common Stock | Acquisiton | 2020-03-03 | 100 | $8.45 | 5,754,929 | No | 4 | P | Indirect | See notes |
| Common Stock | Acquisiton | 2020-03-03 | 552 | $8.45 | 5,755,481 | No | 4 | P | Indirect | See notes |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | See notes |
| No | 4 | P | Indirect | See notes |
| No | 4 | P | Indirect | See notes |
| No | 4 | P | Indirect | See notes |
| No | 4 | P | Indirect | See notes |
| No | 4 | P | Indirect | See notes |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrants (right to buy) | Acquisiton | 2020-02-28 | 129,700 | $1.20 | 129,700 | $11.50 |
| Common Stock | Warrants (right to buy) | Acquisiton | 2020-02-28 | 110,600 | $1.20 | 110,600 | $11.50 |
| Common Stock | Warrants (right to buy) | Acquisiton | 2020-03-03 | 33,000 | $1.20 | 33,000 | $11.50 |
| Common Stock | Warrants (right to buy) | Acquisiton | 2020-03-03 | 33,000 | $1.20 | 33,000 | $11.50 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 1,156,619 | No | 4 | P | Indirect | ||
| 1,267,219 | No | 4 | P | Indirect | ||
| 1,300,219 | No | 4 | P | Indirect | ||
| 1,333,219 | No | 4 | P | Indirect |
Footnotes
- 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"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), and B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI" and collectively, the "Filing Persons"). Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Alta Equipment Group Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein.
- 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. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI.
- Represents shares of Common Stock or warrants held directly by BRPLP.
- Represents shares of Common Stock or warrants held directly by BRFBR.
- The warrants will become exercisable on April 11, 2020, which is 12 months from the closing of the initial public offering of the Issuer.
- The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation, as further described in the Prospectus.
- Shares were purchased at a price of $8.44906.
Billionaire Hedge Funds
