Statement of Changes in Beneficial Ownership (4)
21 Januar 2022 - 10:59PM
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
|
OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
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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
|
|
| 1. Name
and Address of Reporting Person * B. Riley Financial,
Inc. |
2. Issuer Name and Ticker or Trading
Symbol ALTA EQUIPMENT GROUP INC. [ ALTG ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director __X__
10% Owner
_____ Officer (give title
below) _____ Other
(specify below)
|
|
(Last)
(First)
(Middle)
11100 SANTA MONICA BLVD,, SUITE 800 |
3. Date of Earliest Transaction (MM/DD/YYYY)
1/19/2022
|
|
(Street)
LOS ANGELES, CA 90025
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line) ___
Form filed by One Reporting Person
_ X _ Form filed by More than One Reporting
Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
|
Code |
V |
Amount |
(A) or (D) |
Price |
|
Common Stock |
1/19/2022 |
|
P |
|
25588 |
A |
$14.1477 (5) |
5179943 |
I |
By B. Riley Securities, Inc. (1)(2)(3) |
|
Common Stock |
1/20/2022 |
|
P |
|
39510 |
A |
$13.9871 (6) |
5219453 |
I |
By B. Riley Securities, Inc. (1)(2)(3) |
|
Common Stock |
1/21/2022 |
|
P |
|
20497 |
A |
$13.749 (7) |
5239950 |
I |
By B. Riley Securities, Inc. (1)(2)(3) |
|
Common Stock |
|
|
|
|
|
|
|
606007 |
D (4) |
|
|
Common Stock |
|
|
|
|
|
|
|
1062 |
I |
By Bryant R. Riley, as UTMA custodian for Charlie
Riley (1)(3) |
|
Common Stock |
|
|
|
|
|
|
|
1062 |
I |
By Bryant R. Riley, as UTMA custodian for Susan
Riley (1)(3) |
|
Common Stock |
|
|
|
|
|
|
|
1062 |
I |
By Bryant R. Riley, as UTMA custodian for Abigail
Riley (1)(3) |
|
Common Stock |
|
|
|
|
|
|
|
1062 |
I |
By Bryant R. Riley, as UTMA custodian for Eloise
Riley (1)(3) |
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
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) |
This Form 4 is being filed
jointly by B. Riley Financial, Inc., a Delaware corporation
("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"),
and Bryant R. Riley. |
| (2) |
BRF is the parent company of
BRS. As a result, BRF may be deemed to indirectly beneficially own
the shares held by BRS. |
| (3) |
Bryant R. Riley is the
Co-Chief Executive Officer and Chairman of the Board of Directors
of BRF. As a result, Bryant R. Riley may be deemed to indirectly
beneficially own the shares of Common Stock directly held by BRS.
Each of BRF, BRS, and Bryant R. Riley disclaims beneficial
ownership of the outstanding shares of Common Stock reported
herein, except to the extent of its/his respective pecuniary
interest therein. |
| (4) |
Represents shares held
directly by Bryant R. Riley. |
| (5) |
The price reported in Column
4 is a weighted average price. These shares were purchased in
multiple transactions at prices ranging from $14.05 to $14.15,
inclusive. The Filing Persons reporting person undertakes to
provide to the Commission, upon request, full information regarding
the number of shares sold at each separate price. |
| (6) |
The price reported in Column
4 is a weighted average price. These shares were purchased in
multiple transactions at prices ranging from $13.87 to $14.10,
inclusive. The Filing Persons reporting person undertakes to
provide to the Commission, upon request, full information regarding
the number of shares sold at each separate price. |
| (7) |
The price reported in Column
4 is a weighted average price. These shares were purchased in
multiple transactions at prices ranging from $13.65 to $13.85,
inclusive. The Filing Persons reporting person undertakes to
provide to the Commission, upon request, full information regarding
the number of shares sold at each separate price. |
Reporting
Owners
|
|
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 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 |
|
|
Signatures
|
|
B. Riley Financial, Inc., by: /s/ Bryant R.
Riley, Co-Chief Executive Officer |
|
1/21/2022 |
| **Signature of
Reporting Person |
Date |
|
B. Riley Securities, Inc., by: /s/ Andrew Moore,
Chief Executive Officer |
|
1/21/2022 |
| **Signature of
Reporting Person |
Date |
|
Bryant R. Riley, by: /s/ Bryant R.
Riley |
|
1/21/2022 |
| **Signature of
Reporting Person |
Date |
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