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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
B. Riley Financial, Inc. 11100 SANTA MONICA BLVD, SUITE 800 LOS ANGELES, CA 90025 |
X | |||
B. RILEY PRINCIPAL INVESTMENTS, LLC 11100 SANTA MONICA BLVD, SUITE 800 LOS ANGELES, CA 90025 |
X | |||
ABJ5, LLC 11100 SANTA MONICA BLVD, SUITE 800 LOS ANGELES, CA 90025 |
X | |||
B. Riley Securities, Inc. 11100 SANTA MONICA BLVD, SUITE 800 LOS ANGELES, CA 90025 |
X | |||
RILEY BRYANT R 11100 SANTA MONICA BLVD, SUITE 800 LOS ANGELES, CA 90025 |
X |
B. Riley Financial, Inc., by: /s/ Bryant R. Riley, Co-Chief Executive Officer | 09/01/2022 | |
**Signature of Reporting Person | Date | |
B. Riley Principal Investments, LLC by: /s/ Kenneth Young, Chief Executive Officer | 09/01/2022 | |
**Signature of Reporting Person | Date | |
ABJ5, LLC by: /s/ Jimmy Baker, President | 09/01/2022 | |
**Signature of Reporting Person | Date | |
B. Riley Securities, Inc., by: /s/ Andrew Moore, Chief Executive Officer | 09/01/2022 | |
**Signature of Reporting Person | Date | |
Bryant R. Riley, by: /s/ Bryant R. Riley | 09/01/2022 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Remarks: This filing amends the Form 4 filed on August 31, 2022 to reflect the addition of ABJ5 as a Reporting Person and signatory hereto. ABJ5 had not yet obtained edgar access codes at the time of the prior Form 4 filing and has since obtained such codes. This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI"), ABJ5, LLC, a Delaware limited liability company ("ABJ5"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), and Bryant R. Riley. As a result of the closing of the Business Combination (as defined in the Issuer's Proxy Statement/Prospectus dated July 27, 2022), completed on August 29, 2022, the Reporting Persons have ceased to beneficially own more than 10% of the outstanding Class A Common Stock of the Issuer and are no longer Section 16 Reporting Persons. |