4//SEC Filing
B. RILEY PRINCIPAL INVESTMENTS, LLC 4
Accession 0001213900-20-005345
CIK 0001759824other
Filed
Mar 2, 7:00 PM ET
Accepted
Mar 3, 8:04 PM ET
Size
38.6 KB
Accession
0001213900-20-005345
Insider Transaction Report
Form 4
B. Riley Financial, Inc.
10% Owner
Transactions
- Purchase
Common Stock
2020-03-03$8.40/sh+167,209$1,404,556→ 5,754,829 total(indirect: See notes) - Purchase
Warrants (right to buy)
2020-02-28$1.20/sh+218,100$261,720→ 1,374,719 total(indirect: See notes)Exercise: $11.50→ Common Stock (218,100 underlying) - Purchase
Warrants (right to buy)
2020-03-03$1.20/sh+33,000$39,600→ 1,300,219 total(indirect: See notes)Exercise: $11.50→ Common Stock (33,000 underlying) - Purchase
Warrants (right to buy)
2020-03-03$1.20/sh+33,000$39,600→ 1,333,219 total(indirect: See notes)Exercise: $11.50→ Common Stock (33,000 underlying) - Purchase
Common Stock
2020-02-28$8.87/sh+29,600$262,525→ 5,476,139 total(indirect: See notes) - Purchase
Common Stock
2020-03-02$8.65/sh+90,060$778,839→ 5,566,199 total(indirect: See notes) - Purchase
Common Stock
2020-03-03$8.45/sh+21,421$181,007→ 5,587,620 total(indirect: See notes) - Purchase
Common Stock
2020-03-03$8.45/sh+552$4,664→ 5,755,481 total(indirect: See notes) - Purchase
Warrants (right to buy)
2020-02-28$1.20/sh+129,700$155,640→ 1,156,619 total(indirect: See notes)Exercise: $11.50→ Common Stock (129,700 underlying) - Sale
Warrants (right to buy)
2020-02-28$1.20/sh−107,500$129,000→ 1,267,219 total(indirect: See notes)Exercise: $11.50→ Common Stock (107,500 underlying) - Purchase
Common Stock
2020-03-03$8.45/sh+100$845→ 5,754,929 total(indirect: See notes)
Footnotes (7)
- [F1]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.
- [F2]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.
- [F3]Represents shares of Common Stock or warrants held directly by BRPLP.
- [F4]Represents shares of Common Stock or warrants held directly by BRFBR.
- [F5]The warrants will become exercisable on April 11, 2020, which is 12 months from the closing of the initial public offering of the Issuer.
- [F6]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.
- [F7]Shares were purchased at a price of $8.44906.
Documents
Issuer
ALTA EQUIPMENT GROUP INC.
CIK 0001759824
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001776226
Filing Metadata
- Form type
- 4
- Filed
- Mar 2, 7:00 PM ET
- Accepted
- Mar 3, 8:04 PM ET
- Size
- 38.6 KB