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ALTG Alta Equipment Group Inc

10.37
-0.23 (-2.17%)
20 Jul 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
Alta Equipment Group Inc NYSE:ALTG NYSE Common Stock
  Price Change % Change Share Price High Price Low Price Open Price Shares Traded Last Trade
  -0.23 -2.17% 10.37 10.72 10.17 10.64 219,355 01:00:00

Statement of Changes in Beneficial Ownership (4)

10/09/2021 10:33pm

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                       
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)

9/8/2021
(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 9/8/2021  P  3480 A$12.7999 4869389 I By B. Riley Securities, Inc. (1)(2)(3)
Common Stock 9/9/2021  P  3954 A$12.80 4873343 I By B. Riley Securities, Inc. (1)(2)(3)
Common Stock 9/10/2021  P  10277 A$12.8 4883620 I By B. Riley Securities, Inc. (1)(2)(3)
Common Stock         1351307 I By BRC Partners Opportunity Fund, L.P. (1)(2)(3)
Common Stock         211174 D (4) 

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 Security3. Trans. Date3A. Deemed Execution Date, if any4. 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 Date7. 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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares

Explanation of Responses:
(1) This Form 4 is being filed jointly by BRF, B. Riley Securities, Inc., a Delaware corporation ("BRS"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company, a registered investment advisor ("BRCM"), and Bryant R. Riley.
(2) BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the shares held by BRPLP. 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, and BRPLP. Each of BRF, BRS, BRPGP, BRCM, BRPLP, 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.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
B. Riley Financial, Inc.
11100 SANTA MONICA BLVD, SUITE 800
LOS ANGELES, CA 90025

X

B. RILEY CAPITAL MANAGEMENT, LLC
11100 SANTA MONICA BLVD, SUITE 800
LOS ANGELES, CA 90025

X

BRC Partners Management GP, LLC
11100 SANTA MONICA BLVD, SUITE 800
LOS ANGELES, CA 90025

X

BRC Partners Opportunity Fund, LP
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 Officer9/10/2021
**Signature of Reporting PersonDate

B. Riley Capital Management, LLC, by: /s/ Bryant R. Riley, Chief Executive Officer9/10/2021
**Signature of Reporting PersonDate

BRC Partners Management GP, LLC, by: B. Riley Capital Management, LLC, its sole member, by: /s/ Bryant R. Riley, Chief Executive Officer9/10/2021
**Signature of Reporting PersonDate

BRC Partners Opportunity Fund, LP, by: /s/ Bryant R. Riley, Chief Investment Officer9/10/2021
**Signature of Reporting PersonDate

B. Riley Securities, Inc., by: /s/ Andrew Moore, Chief Executive Officer9/10/2021
**Signature of Reporting PersonDate

Bryant R. Riley, by: /s/ Bryant R. Riley9/10/2021
**Signature of Reporting PersonDate

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