(Amendment No. 5)
B. Riley Financial, Inc.
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
CUSIP No. 05580M108
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13G/A
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SCHEDULE 13G/A
This Amendment No. 5 (this “Amendment”) to the Schedule 13G (the “Schedule 13G”) is being filed on behalf of Nokomis Capital, L.L.C., a Texas limited liability company (“Nokomis Capital”), and Mr. Brett
Hendrickson, the principal of Nokomis Capital, relating to Common Stock, par value $0.0001 per share (the “Common Stock”), of B. Riley Financial, Inc., a Delaware corporation (the “Issuer”).
This Amendment relates to Common Stock of the Issuer purchased by Nokomis Capital through the accounts of certain private funds (collectively, the “Nokomis Accounts”). Nokomis Capital serves as the
investment adviser to the Nokomis Accounts and may direct the vote and dispose of the 1,339,374 shares of Common Stock held by the Nokomis Accounts. As the principal of Nokomis Capital, Mr. Hendrickson may direct the vote and disposition of the
1,339,374 shares of Common Stock held by the Nokomis Accounts.
This Amendment amends and restates the Schedule 13G as set forth below.
B. Riley Financial, Inc.
21255 Burbank Boulevard, Suite 400
Woodland Hills, California 91367
Nokomis Capital, L.L.C. (“Nokomis Capital”) and Mr. Brett Hendrickson (collectively, the “Reporting Persons”).
2305 Cedar Springs Rd., Suite 420
Dallas, TX 75201
Nokomis Capital is a limited liability company organized under the laws of the State of Texas. Mr. Hendrickson is the principal of Nokomis Capital and is a United States citizen.
Common Stock, par value $0.0001 per share (the “Common Stock”).
05580M108
If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b), check whether the person filing is a:
If this statement is being filed to report the fact that as of the date hereof the Reporting Persons have ceased to be the beneficial owners of more than five percent of the class of securities, check the following ☒.
Inapplicable.
Inapplicable.
Inapplicable.
Inapplicable.
By signing below each of the Reporting Persons certifies that, to the best of such person’s knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of
business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any
transaction having that purpose or effect.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Date: February 14, 2020