Initial Statement of Beneficial Ownership (3)
11 März 2014 - 10:08PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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
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1. Name and Address of Reporting Person
*
RILEY BRYANT R
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2. Date of Event Requiring Statement (MM/DD/YYYY)
3/7/2014
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3. Issuer Name
and
Ticker or Trading Symbol
STR HOLDINGS, INC. [STRI]
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(Last)
(First)
(Middle)
11100 SANTA MONICA BLVD., SUITE 800,
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4. 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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(Street)
LOS ANGELES, CA US 90025
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
(1)
(2)
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997840
(3)
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D
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Common Stock
(1)
(2)
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588400
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I
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By B. Riley and Co., LLC
(4)
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Common Stock
(1)
(2)
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407202
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I
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By Riley Investment Partners, LP
(5)
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Common Stock
(1)
(2)
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1125000
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I
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By Equitec Proprietary Markets, LLC
(6)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(
1)
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This Form 3 is filed jointly by Bryant R. Riley, Riley Investment Management LLC, Riley Investment Partners, LP, B. Riley and Co., LLC., and Equitec Proprietary Markets, LLC (collectively, the "Reporting Persons"). Each Reporting Person is a member of a reporting group that owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock. As such, each Reporting Person may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock.
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(
2)
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Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose.
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(
3)
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Beneficially owned by Mr. Riley and his wife.
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(
4)
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Beneficially owned by B. Riley and Co., LLC. Mr. Riley, as Chairman of B. Riley and Co., LLC, may be deemed to beneficially own the shares beneficially owned by B. Riley and Co., LLC.
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(
5)
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Beneficially owned by Riley Investment Partners, L.P. Riley Investment Management LLC, as the general partner and investment advisor to Riley Investment Partners, L.P., and Mr. Riley, as the Managing Member of Riley Investment Management LLC, may be deemed to beneficially own the shares beneficially owned by Riley Investment Partners, L.P.
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(
6)
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Beneficially owned by Equitec Proprietary Markets, LLC.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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RILEY BRYANT R
11100 SANTA MONICA BLVD., SUITE 800
LOS ANGELES, CA US 90025
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X
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Riley Investment Management LLC
11100 SANTA MONICA BLVD., SUITE 800
LOS ANGELES, CA US 90025
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X
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B. Riley & Co., LLC
11100 SANTA MONICA BLVD. SUITE 800
LOS ANGELES, CA US 90025
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X
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Riley Investment Partners LP
11100 SANTA MONICA BLVD., SUITE 800
SANTA MONICA, CA US 90025
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X
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EQUITEC PROPRIETARY MARKETS, LLC
111 W. JACKSON
20TH FLOOR
CHICAGO, IL US 60604
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X
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Signatures
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Bryant R. Riley
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3/11/2014
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**
Signature of Reporting Person
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Date
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Bryant R. Riley, Managing Member
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3/11/2014
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**
Signature of Reporting Person
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Date
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Bryant R. Riley, Chairman
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3/11/2014
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**
Signature of Reporting Person
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Date
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Bryant R. Riley, as Managing Member of Riley Investment Management, LLC, its General Partner
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3/11/2014
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**
Signature of Reporting Person
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Date
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Fred Goldman, CFO
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3/11/2014
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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