Home > Insider Trading > Filing (0001213900-20-003132)

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	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

Show Other Fields >>

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

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.
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.
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.
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.
Represents shares of Common Stock held directly by BRPLP.