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| As Of | Filer | Filing¹ | For·On·As | Docs:Size | Issuer | | Filing Agent | | | | | | | | | |
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7/2/20 B. Riley Financial, Inc. SC 13D/A 1:138K Babcock & Wilcox Enterprises, Inc EdgarAgents LLC/FA
B. Riley Capital Management, LLC³
B. Riley FBR, Inc.³
BRC Partners Management GP, LLC³
BRC Partners Opportunities Fund, LP³
Bryant R. Riley³
7/2/20 B. Riley Financial, Inc. SC 13D/A 1:187K Franchise Group, Inc. EdgarAgents LLC/FA
B. Riley Capital Management, LLC³
B. Riley FBR, Inc.³
BR Dialectic Capital Management, LLC³
BRC Partners Management GP, LLC³
BRC Partners Opportunity Fund, LP³
Bryant R. Riley³
Dialectic Antithesis Partners, LP³
6/11/20 B. Riley Financial, Inc. SC 13D/A 1:206K Babcock & Wilcox Enterprises, Inc EdgarAgents LLC/FA
B. Riley Capital Management, LLC³
B. Riley FBR, Inc.³
BRC Partners Management GP, LLC³
BRC Partners Opportunities Fund, LP³
Bryant R. Riley³
5/20/20 B. Riley Financial, Inc. SC 13D/A 1:140K Babcock & Wilcox Enterprises, Inc EdgarAgents LLC/FA
B. Riley Capital Management, LLC³
B. Riley FBR, Inc.³
BRC Partners Management GP, LLC³
BRC Partners Opportunities Fund, LP³
Bryant R. Riley³
4/29/20‡ B. Riley Financial, Inc. SC 13D/A 4/28/20 1:207K Quantum Corp./DE EdgarAgents LLC/FA
B. Riley Capital Management, LLC³
B. Riley FBR, Inc.³
BRC Partners Management GP, LLC³
BRC Partners Opportunity Fund, L.P.³
4/23/20‡ B. Riley Financial, Inc. SC 13D/A 4/22/20 1:250K Franchise Group, Inc. EdgarAgents LLC/FA
B. Riley Capital Management, LLC³
B. Riley FBR, Inc.³
BR Dialectic Capital Management, LLC³
BRC Partners Management GP, LLC³
BRC Partners Opportunity Fund, LP³
Dialectic Antithesis Partners, LP³
4/6/20 B. Riley Financial, Inc. SC 13D 2:180K Quantum Corp./DE EdgarAgents LLC/FA
B. Riley Capital Management, LLC³
B. Riley FBR, Inc.³
BRC Partners Management GP, LLC³
BRC Partners Opportunity Fund, L.P.³
Bryant R. Riley³
Daniel Shribman³
Robert D’Agostino³
Robert L. Antin³
3/17/20‡ B Riley Principal Sponsor Co, LLC SC 13D/A 3/16/20 1:230K Alta Equipment Group Inc. EdgarAgents LLC/FA
B. Riley Capital Management, LLC³
B. Riley FBR, Inc.³
B. Riley Financial, Inc.³
B. Riley Principal Investments, LLC³
BRC Partners Management GP, LLC³
BRC Partners Opportunity Fund, L.P.³
3/3/20‡ B Riley Principal Sponsor Co, LLC SC 13D/A 1:230K Alta Equipment Group Inc. EdgarAgents LLC/FA
B.Riley Capital Management, LLC³
B.Riley FBR, Inc.³
B.Riley Financial, Inc.³
B.Riley Principal Investments, LLC³
BRC Partners Management GP, LLC³
BRC Partners Opportunity Fund, L.P.³
2/24/20 B Riley Principal Sponsor Co, LLC SC 13D/A 2:186K Alta Equipment Group Inc. EdgarAgents LLC/FA
B. Riley Capital Management, LLC³
B. Riley FBR, Inc.³
B. Riley Financial, Inc.³
B. Riley Principal Investments, LLC³
BRC Partners Management GP, LLC³
BRC Partners Opportunity Fund, L.P.³
2/24/20 B Riley Principal Sponsor Co, LLC SC 13D/A 2:174K Alta Equipment Group Inc. EdgarAgents LLC/FA
B. Riley Capital Management, LLC³
B. Riley FBR, Inc.³
B. Riley Financial, Inc.³
B. Riley Principal Investments, LLC³
BRC Partners Management GP, LLC³
BRC Partners Opportunity Fund, L.P.³
1/28/20 B. Riley Financial, Inc. SC 13G/A 1:97K Global Ship Lease, Inc. EdgarAgents LLC/FA
B. Riley Capital Management, LLC³
B. Riley FBR, Inc.³
BRC Partners Management GP, LLC³
BRC Partners Opportunities Fund, LP³
1/28/20 B. Riley Financial, Inc. SC 13G/A 1:133K Quantum Corp./DE EdgarAgents LLC/FA
B. Riley Capital Management, LLC³
B. Riley FBR, Inc.³
BR Dialectic Capital Management, LLC³
BRC Partners Management GP, LLC³
BRC Partners Opportunity Fund, LP³
Dialectic Antithesis Partners, LP³
1/23/20 B. Riley Financial, Inc. SC 13G/A 1:119K INNOVATE Corp. EdgarAgents LLC/FA
B. Riley FBR, Inc.³
B.Riley Capital Management, LLC³
BRC Partners Management GP, LLC³
BRC Partners Opportunities Fund, LP³
1/15/20‡ B. Riley Financial, Inc. SC 13G 1:143K INNOVATE Corp. EdgarAgents LLC/FA
B. Riley Capital Management, LLC³
B. Riley FBR, Inc.³
BRC Partners Management GP, LLC³
BRC Partners Opportunities Fund, LP³
12/2/19 B. Riley Financial, Inc. SC 13D 2:141K Select Interior Concepts, Inc. EdgarAgents LLC/FA
B. Riley Capital Management, LLC³
B. Riley FBR, Inc.³
BRC Partners Management GP, LLC³
BRC Partners Opportunity Fund, LP³
11/12/19 B. Riley Financial, Inc. SC 13D 1:224K Sonim Technologies Inc. EdgarAgents LLC/FA
B. Riley Capital Management, LLC³
B. Riley FBR, Inc.³
B. Riley Principal Investments, LLC³
BRC Partners Management GP, LLC³
BRC Partners Opportunity Fund, LP³
Bryant R. Riley³
Kenneth Young³
10/28/19 B. Riley Financial, Inc. SC 13D/A 1:161K Franchise Group, Inc. EdgarAgents LLC/FA
B. Riley Capital Management, LLC³
B. Riley FBR, Inc.³
BR Dialectic Capital Management, LLC³
BRC Partners Management GP, LLC³
BRC Partners Opportunity Fund, LP³
Dialectic Antithesis Partners, LP³
10/10/19 B. Riley Financial, Inc. SC 13G 1:149K Global Ship Lease, Inc. EdgarAgents LLC/FA
B. Riley Capital Management, LLC³
B. Riley FBR, Inc.³
BRC Partners Management GP, LLC³
BRC Partners Opportunities Fund, LP³
7/29/19 B. Riley Financial, Inc. SC 13D/A 5:493K Babcock & Wilcox Enterprises, Inc EdgarAgents LLC/FA
B. Riley Capital Management, LLC³
B. Riley FBR, Inc.³
BRC Partners Management GP, LLC³
BRC Partners Opportunities Fund, LP³
Bryant R. Riley³
| ____________ | | ‡ | A non-Insider-Ownership Filing that was accepted after the SEC “closed” at 5:30:00pm ET. The legal “Filed As Of” date may be the next, or another, day. | | ¹ | Filing/Form Types: | | SC 13D | Statement of Acquisition of Beneficial Ownership by an “Active” Investor — Schedule 13D. | | SC 13G | Statement of Acquisition of Beneficial Ownership by a “Passive” Investor — Schedule 13G. | | /A | Amendment to, or Amended version of, a previous Filing of this Type. | | ³ | Group Member: A Registrant or non-Registrant party to this Filing made by a Group. |
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