Amended Statement of Changes in Beneficial Ownership (4/a)
April 27 2020 - 6:40PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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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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1. Name and Address of Reporting Person
*
B. Riley Financial, Inc. |
2. Issuer Name and Ticker or Trading Symbol
ALTA EQUIPMENT GROUP INC.
[
ALTG
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
21255 BURBANK BOULEVARD, SUITE 400, |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/9/2020 |
(Street)
WOODLAND HILLS, CA 91367
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
1/14/2020 |
6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
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X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Class A Common Stock | 1/9/2020 | | S | | 6 | D | $10.12 | 0 | I | See notes (1)(2)(3) |
Class A Common Stock | 1/10/2020 | | S | | 126571 | D | $10.12 | 0 | I | See notes (1)(2)(3) |
Class A Common Stock | 1/10/2020 | | S | | 27600 | D | $10.13 | 0 | I | See notes (1)(2)(3) |
Class A Common Stock | 1/10/2020 | | P | | 94151 | A | $10.14 | 0 | I | See notes (1)(2)(3) |
Class A Common Stock | 1/13/2020 | | S | | 10000 | D | $10.14 | 0 | I | See notes (1)(2)(3) |
Class A Common Stock | 1/13/2020 | | P | | 69602 | A | $10.14 | 0 | I | See notes (1)(2)(3) |
Class A Common Stock | 1/13/2020 | | S | | 300000 | D | $10.15 | 0 | I | See notes (1)(2)(3) |
Class A Common Stock | 1/13/2020 | | P | | 96097 | A | $10.15 | 0 | I | See notes (1)(2)(3) |
Class A Common Stock | 1/13/2020 | | S | | 10000 | D | $10.16 | 0 | I | See notes (1)(2)(3) |
Class A Common Stock | 1/14/2020 | | P | | 164327 | A | $10.18 | 0 | I | See notes (1)(2)(3) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | 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") 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 Alta Equipment Group, Inc., a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. |
(2) | The shares of the Issuer purchased or sold in the listed transactions were held directly by BRFBR. 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. |
(3) | 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. |
Remarks: This Form 4 amends and restates in its entirety the Form 4 filed by the Filing Persons on January 14, 2020 (the "Original Form 4"). The purpose of this Form 4 is to correct the Original Form 4 by removing certain transactions reported in error on the Original Form 4 that were not reportable under Section 16 for which the Filing Persons were not the beneficial owners. Certain transactions reported on this Form 4 are matchable transactions under Section 16(b) of the Exchange Act. The Reporting Persons will disgorge the full amount of any recoverable profits to the Issuer. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
B. Riley Financial, Inc. 21255 BURBANK BOULEVARD, SUITE 400 WOODLAND HILLS, CA 91367 |
| X |
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B. Riley Principal Sponsor Co., LLC 299 PARK AVENUE, 21ST FLOOR NEW YORK, NY 10171 |
| X |
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B. Riley FBR, Inc. 11100 SANTA MONICA SUITE 800 LOS ANGELES, CA 90025 |
| X |
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Signatures
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B. Riley Financial, Inc., by: /s/ Bryant R. Riley, Co-Chief Executive Officer | | 4/27/2020 |
**Signature of Reporting Person | Date |
B. Riley Principal Sponsor Co., LLC, by: /s/ Bryant R. Riley, Authorized Signer | | 4/27/2020 |
**Signature of Reporting Person | Date |
B. Riley FBR, Inc., by: /s/ Andrew Moore, Chief Executive Officer | | 4/27/2020 |
**Signature of Reporting Person | Date |
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