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Filing Details

Accession Number:: 0001213900-19-021860
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2019-11-01 20:33:34
Reporting Period:: 2019-10-30

Accepted Time:: 2019-11-01 20:33:34
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1178697	Sonim Technologies Inc	SONM	Telephone & Telegraph Apparatus (3661)	943336783

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
1207269	R Bryant Riley	21255 Burbank Boulevard, Suite 400 Woodland Hills CA 91367	No	No	Yes	No
1365572	M Kenneth Young	21255 Burbank Boulevard, Suite 400 Woodland Hills CA 91367	Yes	No	No	No
1464790	B. Riley Financial, Inc.	21255 Burbank Blvd. Suite 400 Woodland Hills CA 91367	Yes	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
1776226	B. Riley Principal Investments, Llc	21255 Burbank Blvd, Suite 400 Woodland Hills CA 91367	No	No	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2019-10-30	200	$2.71	200	No	4	P	Indirect	By B. Riley FBR, Inc.
Common Stock	Acquisiton	2019-10-30	100	$2.70	300	No	4	P	Indirect	By B. Riley FBR, Inc.
Common Stock	Acquisiton	2019-10-30	200	$2.70	500	No	4	P	Indirect	By B. Riley FBR, Inc.
Common Stock	Acquisiton	2019-10-30	25,000	$2.70	25,500	No	4	P	Indirect	By B. Riley FBR, Inc.
Common Stock	Disposition	2019-10-30	11,265	$2.65	14,235	No	4	S	Indirect	By B. Riley FBR, Inc.
Common Stock	Disposition	2019-10-30	200	$2.67	14,035	No	4	S	Indirect	By B. Riley FBR, Inc.
Common Stock	Disposition	2019-10-30	500	$2.66	13,535	No	4	S	Indirect	By B. Riley FBR, Inc.
Common Stock	Disposition	2019-10-30	200	$2.67	13,335	No	4	S	Indirect	By B. Riley FBR, Inc.
Common Stock	Disposition	2019-10-30	1,500	$2.71	11,835	No	4	S	Indirect	By B. Riley FBR, Inc.
Common Stock	Disposition	2019-10-30	600	$2.71	11,235	No	4	S	Indirect	By B. Riley FBR, Inc.
Common Stock	Disposition	2019-10-30	500	$2.70	10,735	No	4	S	Indirect	By B. Riley FBR, Inc.
Common Stock	Disposition	2019-10-30	330	$2.71	10,405	No	4	S	Indirect	By B. Riley FBR, Inc.
Common Stock	Disposition	2019-10-30	400	$2.81	10,005	No	4	S	Indirect	By B. Riley FBR, Inc.
Common Stock	Disposition	2019-10-30	1,000	$2.80	9,005	No	4	S	Indirect	By B. Riley FBR, Inc.
Common Stock	Disposition	2019-10-30	8,105	$2.84	900	No	4	S	Indirect	By B. Riley FBR, Inc.
Common Stock	Disposition	2019-10-30	900	$2.84	0	No	4	S	Indirect	By B. Riley FBR, Inc.

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	By B. Riley FBR, Inc.
No	4	P	Indirect	By B. Riley FBR, Inc.
No	4	P	Indirect	By B. Riley FBR, Inc.
No	4	P	Indirect	By B. Riley FBR, Inc.
No	4	S	Indirect	By B. Riley FBR, Inc.
No	4	S	Indirect	By B. Riley FBR, Inc.
No	4	S	Indirect	By B. Riley FBR, Inc.
No	4	S	Indirect	By B. Riley FBR, Inc.
No	4	S	Indirect	By B. Riley FBR, Inc.
No	4	S	Indirect	By B. Riley FBR, Inc.
No	4	S	Indirect	By B. Riley FBR, Inc.
No	4	S	Indirect	By B. Riley FBR, Inc.
No	4	S	Indirect	By B. Riley FBR, Inc.
No	4	S	Indirect	By B. Riley FBR, Inc.
No	4	S	Indirect	By B. Riley FBR, Inc.
No	4	S	Indirect	By B. Riley FBR, Inc.

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Convertible Promissory Note (right to buy)	Disposition	2019-10-23	366,426	$0.00	366,426	$8.87

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
732,852	2018-04-09	2019-10-23	No	5	J	Indirect

Footnotes

In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Kenneth M. Young and Bryant R. Riley.
BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. 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. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BRF is the parent company of BRPI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRPI.
Bryant Riley, as Chief Executive Officer of BRCM and Chairman and Co-Chief Executive Officer of BRF, has voting and dispositive power over the shares held by BRPLP, BRPI and BRF. Mr. Young is the President of BRF and the Chief Executive Officer of BRPI. He has voting and dispositive power over the shares held by BRPI. Mr. Young does not have either voting or investment control over the securities held by the BRF. Each reporting person disclaims beneficial ownership of the securities of the Issuer reported herein held indirectly except to the extent of such person's pecuniary interest therein.
Expiration of a long position for no consideration. Pursuant to the terms of the Convertible Promissory Note, the amount of the Convertible Promissory Note convertible into shares of Common Stock was reduced to 50% of the principal outstanding as of October 23, 2019.