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Filing Details

Accession Number:: 0001213900-20-005345
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-03-03 20:04:07
Reporting Period:: 2020-02-28

Accepted Time:: 2020-03-03 20:04:07
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	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

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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	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

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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	218,100	$1.20	218,100	$11.50
Common Stock	Warrants (right to buy)	Disposition	2020-02-28	107,500	$1.20	107,500	$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	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
1,156,619	No	4	P	Indirect
1,374,719	No	4	P	Indirect
1,267,219	No	4	S	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.