# EDGAR Filing Document

**Accession Number:** 0001841077
**File Stem:** 0001841077-23-000001
**Filing Date:** 2023-2
**Character Count:** 10069
**Document Hash:** 4472e87598d9d21ee4fa736948183633
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001841077-23-000001.hdr.sgml**: 20230214

**ACCESSION NUMBER**: 0001841077-23-000001

**CONFORMED SUBMISSION TYPE**: 13F-HR

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230214

**DATE AS OF CHANGE**: 20230214

**EFFECTIVENESS DATE**: 20230214

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** B. Riley Asset Management, LLC
- **CENTRAL INDEX KEY:** 0001841077
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 13F-HR
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 028-21702
- **FILM NUMBER:** 23631254

**BUSINESS ADDRESS:**
- **STREET 1:** 3811 TURTLE CREEK BLVD, SUITE 2100
- **CITY:** DALLAS
- **STATE:** TX
- **ZIP:** 75219
- **BUSINESS PHONE:** 214-556-2465

**MAIL ADDRESS:**
- **STREET 1:** 3811 TURTLE CREEK BLVD, SUITE 2100
- **CITY:** DALLAS
- **STATE:** TX
- **ZIP:** 75219

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** 272 Capital LP
- **DATE OF NAME CHANGE:** 20210119

### FORM 13F COVER PAGE

**Report for the Calendar Year or Quarter Ended:** 12-31-2022

**Check here if Amendment** [ ] **Amendment Number:** 

**This Amendment (Check only one.):** [ ] is a restatement.

[ ] adds new holdings entries.

**Institutional Investment Manager Filing this Report:**

**Name:** B. Riley Asset Management LLC<br>**Address:** 3811 TURTLE CREEK BLVD SUITE 2100<br>DALLAS, TX 75219

**Form 13F File Number:** 028-21702

**CRD Number (if applicable):** 000308148

**SEC File Number (if applicable):** 801-118633

The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.

**Person Signing this Report on Behalf of Reporting Manager:**

**Name:** Douglas Shippee<br>**Title:** Chief Compliance Officer<br>**Phone:** 972.646.1791

**Signature, Place, and Date of Signing:**

/s/ Douglas Shippee  Dallas, TX  02-14-2023<br>[Signature]  [City, State]  [Date]

**Report Type (Check only one.):**

[x] **13F HOLDINGS REPORT.** (Check here if all holdings of this reporting manager are reported in this report.)

[ ] **13F NOTICE.** (Check here if no holdings are reported in this report, and all holdings are reported by other reporting manager(s).)

[ ] **13F COMBINATION REPORT.** (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).)

### Form 13F Summary Page

**Report Summary:**

**Number of Other Included Managers:** 0

**Form 13F Information Table Entry Total:** 62

**Form 13F Information Table Value Total:** $223309606

      (round to nearest dollar)

**List of Other Included Managers:**

Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report.

[If there are no entries in this list, state “NONE” and omit the column headings and list entries.]

**NONE**

### FORM 13F INFORMATION TABLE

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | VOTING AUTHORITY | VOTING AUTHORITY | VOTING AUTHORITY |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | SOLE | SHARED | NONE |
| 1STDIBS COM INC | COM | 320551104 |  | 1409568 | 277474 | SH |  | SOLE |  | 277474 | 0 | 0 |
| ACV AUCTIONS INC | COM CL A | 00091G104 |  | 3873568 | 471811 | SH |  | SOLE |  | 471811 | 0 | 0 |
| ADEIA INC | COM | 00676P107 |  | 4124881 | 435114 | SH |  | SOLE |  | 435114 | 0 | 0 |
| ALLOT LTD | SHS | M0854Q105 |  | 1899076 | 552057 | SH |  | SOLE |  | 552057 | 0 | 0 |
| ALTA EQUIPMENT GROUP INC | COMMON STOCK | 02128L106 |  | 358808 | 27203 | SH |  | SOLE |  | 27203 | 0 | 0 |
| AMTECH SYS INC | COM PAR $0.01N | 032332504 |  | 278160 | 36600 | SH |  | SOLE |  | 36600 | 0 | 0 |
| APPLIED DIGITAL CORP | COM NEW | 038169207 |  | 2623262 | 1425686 | SH |  | SOLE |  | 1425686 | 0 | 0 |
| AVEPOINT INC | COM CL A | 053604104 |  | 3671697 | 893357 | SH |  | SOLE |  | 893357 | 0 | 0 |
| B. RILEY FINANCIAL INC. CMN | COM | 05580M108 |  | 5567726 | 162799 | SH |  | SOLE |  | 162799 | 0 | 0 |
| BANKFINANCIAL CORP | COM | 06643P104 |  | 17038 | 1618 | SH |  | SOLE |  | 1618 | 0 | 0 |
| BIGCOMMERCE HLDGS INC | COM SER 1 | 08975P108 |  | 4285318 | 490311 | SH |  | SOLE |  | 490311 | 0 | 0 |
| BLACKBAUD INC | COM | 09227Q100 |  | 2193006 | 37258 | SH |  | SOLE |  | 37258 | 0 | 0 |
| CALAMP CORP | COM | 128126109 |  | 15138184 | 3379059 | SH |  | SOLE |  | 3379059 | 0 | 0 |
| COLOMBIER ACQUISITION CORP | *W EXP 99/99/999 | 19533H116 |  | 5160 | 60000 | SH |  | SOLE |  | 60000 | 0 | 0 |
| COMPASS MINERALS INTL INC | COM | 20451N101 |  | 6000186 | 146346 | SH |  | SOLE |  | 146346 | 0 | 0 |
| COMPOSECURE INC -CW25 | *W EXP 12/27/202 | 20459V113 |  | 1919 | 2741 | SH |  | SOLE |  | 2741 | 0 | 0 |
| COMTECH TELECOMMUNICATIONS C | COM NEW | 205826209 |  | 657357 | 54148 | SH |  | SOLE |  | 54148 | 0 | 0 |
| CONDUENT INC | COM | 206787103 |  | 1030725 | 254500 | SH |  | SOLE |  | 254500 | 0 | 0 |
| COUCHBASE INC | COM | 22207T101 |  | 2649520 | 199813 | SH |  | SOLE |  | 199813 | 0 | 0 |
| CRITEO S A | SPONS ADS | 226718104 |  | 5153209 | 197744 | SH |  | SOLE |  | 197744 | 0 | 0 |
| DXP ENTERPRISES INC | COM NEW | 233377407 |  | 3085517 | 111997 | SH |  | SOLE |  | 111997 | 0 | 0 |
| ECOVYST INC | COM | 27923Q109 |  | 6237369 | 703992 | SH |  | SOLE |  | 703992 | 0 | 0 |
| EVERBRIDGE INC | COM | 29978A104 |  | 5026441 | 169927 | SH |  | SOLE |  | 169927 | 0 | 0 |
| FERROGLOBE PLC | SHS | G33856108 |  | 1228150 | 319000 | SH |  | SOLE |  | 319000 | 0 | 0 |
| GALATA ACQUISITION CORP | *W EXP 99/99/999 | G3R23A116 |  | 6194 | 87000 | SH |  | SOLE |  | 87000 | 0 | 0 |
| GREEN PLAINS INC CMN | COM | 393222104 |  | 3392912 | 111243 | SH |  | SOLE |  | 111243 | 0 | 0 |
| HARVARD BIOSCIENCE INC | COM | 416906105 |  | 8828810 | 3187296 | SH |  | SOLE |  | 3187296 | 0 | 0 |
| INTEGRAL AD SCIENCE HLDNG CO | COM | 45828L108 |  | 439500 | 50000 | SH |  | SOLE |  | 50000 | 0 | 0 |
| INTEST CORP | COM | 461147100 |  | 546683 | 53076 | SH |  | SOLE |  | 53076 | 0 | 0 |
| KORU MEDICAL SYSTEMS INC | COM | 759910102 |  | 3227369 | 904025 | SH |  | SOLE |  | 904025 | 0 | 0 |
| LILIUM N V | CLASS A ORD SHS | N52586109 |  | 813039 | 713192 | SH |  | SOLE |  | 713192 | 0 | 0 |
| LIVEVOX HOLDING INC | COM CL A | 53838L100 |  | 9285040 | 3126276 | SH |  | SOLE |  | 3126276 | 0 | 0 |
| MAGNACHIP SEMICONDUCTOR CORP | COM | 55933J203 |  | 5008626 | 533400 | SH |  | SOLE |  | 533400 | 0 | 0 |
| MITEK SYS INC | COM NEW | 606710200 |  | 4049771 | 417933 | SH |  | SOLE |  | 417933 | 0 | 0 |
| NAPCO SEC TECHNOLOGIES INC | PUT | 630402955 |  | 25000 | 1000 | SH | Put | SOLE |  | 1000 | 0 | 0 |
| NEXTNAV INC | COMMON STOCK | 65345N106 |  | 1614471 | 551014 | SH |  | SOLE |  | 551014 | 0 | 0 |
| NEXTNAV INC | *W EXO 10/28/202 | 65345N114 |  | 22221 | 59654 | SH |  | SOLE |  | 59654 | 0 | 0 |
| ON24 INC | COM | 68339B104 |  | 52496 | 6083 | SH |  | SOLE |  | 6083 | 0 | 0 |
| ONESPAN INC | COM | 68287N100 |  | 3615008 | 323057 | SH |  | SOLE |  | 323057 | 0 | 0 |
| PERSONALIS INC | COM | 71535D106 |  | 248827 | 125670 | SH |  | SOLE |  | 125670 | 0 | 0 |
| PROASSURANCE CORP | COM | 74267C106 |  | 1098863 | 62900 | SH |  | SOLE |  | 62900 | 0 | 0 |
| Q2 HLDGS INC | COM | 74736L109 |  | 2556681 | 95150 | SH |  | SOLE |  | 95150 | 0 | 0 |
| QUALTEK SERVICES INC | *W EXP 02/14/202 | 74760R113 |  | 617 | 15000 | SH |  | SOLE |  | 15000 | 0 | 0 |
| RAPID7 INC | COM | 753422104 |  | 2174720 | 64000 | SH |  | SOLE |  | 64000 | 0 | 0 |
| RESERVOIR MEDIA INC | *W EXP 08/26/202 | 76119X113 |  | 19500 | 15000 | SH |  | SOLE |  | 15000 | 0 | 0 |
| RISKIFIED LTD | SHS CL A | M8216R109 |  | 7160709 | 1549937 | SH |  | SOLE |  | 1549937 | 0 | 0 |
| SENSATA TECHNOLOGIES HLDG PL | SHS | G8060N102 |  | 1607124 | 39800 | SH |  | SOLE |  | 39800 | 0 | 0 |
| SENTINELONE INC | CL A | 81730H109 |  | 1428361 | 97900 | SH |  | SOLE |  | 97900 | 0 | 0 |
| SEQUANS COMMUNICATIONS S A | SPONSORED ADS | 817323207 |  | 17272755 | 5202637 | SH |  | SOLE |  | 5202637 | 0 | 0 |
| SILICON MOTION TECHNOLOGY CO S | SPONSORED ADS | 82706C108 |  | 2697085 | 41500 | SH |  | SOLE |  | 41500 | 0 | 0 |
| SPORTSMAP TECH ACQUISITIN CO | *W EXP 09/01/202 | 84921J116 |  | 6176 | 112500 | SH |  | SOLE |  | 112500 | 0 | 0 |
| SPRINKLR INC | CL A | 85208T107 |  | 1011928 | 123859 | SH |  | SOLE |  | 123859 | 0 | 0 |
| SUMO LOGIC INC | COM | 86646P103 |  | 9694493 | 1196851 | SH |  | SOLE |  | 1196851 | 0 | 0 |
| THE ARENA GROUP HOLDINGS INC | COM | 040044109 |  | 16686612 | 1572725 | SH |  | SOLE |  | 1572725 | 0 | 0 |
| THERMON GROUP HLDGS INC | COM | 88362T103 |  | 8548839 | 425739 | SH |  | SOLE |  | 425739 | 0 | 0 |
| TURNING PT BRANDS INC | COM | 90041L105 |  | 6200650 | 286669 | SH |  | SOLE |  | 286669 | 0 | 0 |
| VALENS SEMICONDUCTOR LTD | ORDINARY SHARES | M9607U115 |  | 133890 | 24933 | SH |  | SOLE |  | 24933 | 0 | 0 |
| VARONIS SYS INC | COM | 922280102 |  | 1353424 | 56534 | SH |  | SOLE |  | 56534 | 0 | 0 |
| VIAVI SOLUTIONS INC | COM | 925550105 |  | 2068347 | 196798 | SH |  | SOLE |  | 196798 | 0 | 0 |
| VIMEO INC | COMMON STOCK | 92719V100 |  | 753914 | 219800 | SH |  | SOLE |  | 219800 | 0 | 0 |
| VISHAY PRECISION GROUP INC | COM | 928298108 |  | 14756261 | 381792 | SH |  | SOLE |  | 381792 | 0 | 0 |
| WALKME LTD | ORD SHS | M97628107 |  | 8386845 | 750165 | SH |  | SOLE |  | 750165 | 0 | 0 |

---