# EDGAR Filing Document

**Accession Number:** 0001505748
**File Stem:** 0001213900-23-009008
**Filing Date:** 2023-2
**Character Count:** 11899
**Document Hash:** c9ffa9c24938997d093b7967d3437507
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001213900-23-009008.hdr.sgml**: 20230207

**ACCESSION NUMBER**: 0001213900-23-009008

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

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230207

**DATE AS OF CHANGE**: 20230207

**EFFECTIVENESS DATE**: 20230207

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** B. Riley Securities, Inc.
- **CENTRAL INDEX KEY:** 0001505748
- **IRS NUMBER:** 521630477
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 13F-HR
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 028-14034
- **FILM NUMBER:** 23595910

**BUSINESS ADDRESS:**
- **STREET 1:** 11100 SANTA MONICA BLVD
- **STREET 2:** SUITE 800
- **CITY:** LOS ANGELES
- **STATE:** CA
- **ZIP:** 90025
- **BUSINESS PHONE:** 310-966-1444

**MAIL ADDRESS:**
- **STREET 1:** 11100 SANTA MONICA BLVD
- **STREET 2:** SUITE 800
- **CITY:** LOS ANGELES
- **STATE:** CA
- **ZIP:** 90025

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** B. Riley FBR, Inc.
- **DATE OF NAME CHANGE:** 20180830

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** FBR Capital Markets & Co
- **DATE OF NAME CHANGE:** 20101115

### 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 Securities Inc.<br>**Address:** 11100 Santa Monica Blvd<br>Suite 800<br>Los Angeles, CA 90025

**Form 13F File Number:** 028-14034

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:** Bryant R. Riley<br>**Title:** Co-Chief Executive Officer<br>**Phone:** 310-966-1444

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

/s/ Bryant R. Riley  Los Angeles, CA  02-07-2023<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:** 1

**Form 13F Information Table Entry Total:** 73

**Form 13F Information Table Value Total:** $459667518

      (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.]

| No.   | Name                     | Form 13F File Number   |
|:---|:---|:---|
|  | B. Riley Securities Inc. | 028-14034              |

### 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 |
| AST SPACEMOBILE INC | COM CL A | 00217D100 |  | 8316770 | 1725471 | SH |  | DFND | 1 | 1725471 | 0 | 0 |
| ALGOMA STL GROUP INC | *W EXP 10/19/202 | 015658115 |  | 23971 | 20754 | SH |  | DFND | 1 | 20754 | 0 | 0 |
| ALTA EQUIPMENT GROUP INC | COMMON STOCK | 02128L106 |  | 65681306 | 4979629 | SH |  | DFND |  | 4979629 | 0 | 0 |
| ALTA EQUIPMENT GROUP INC | COMMON STOCK | 02128L106 |  | 13468757 | 1021134 | SH |  | DFND | 1 | 1021134 | 0 | 0 |
| THE ARENA GROUP HOLDINGS INC | COM | 040044109 |  | 36429774 | 3433532 | SH |  | DFND |  | 3433532 | 0 | 0 |
| THE ARENA GROUP HOLDINGS INC | COM | 040044109 |  | 12299759 | 1159261 | SH |  | DFND | 1 | 1159261 | 0 | 0 |
| ARROWROOT ACQUISITION CORP | *W EXP 03/02/202 | 04282M110 |  | 249 | 42940 | SH |  | DFND | 1 | 42940 | 0 | 0 |
| AVAYA HLDGS CORP | NOTE  2.250% 6/1 | 05351XAB7 |  | 22500 | 600000 | SH |  | DFND | 1 | 600000 | 0 | 0 |
| B RILEY PRIN 250 MERGER CORP | UNIT 04/06/2026 | 05602L203 |  | 5982000 | 600000 | SH |  | DFND |  | 600000 | 0 | 0 |
| BABCOCK  WILCOX ENTERPRISES | COM | 05614L209 |  | 88028505 | 15256240 | SH |  | DFND |  | 15256240 | 0 | 0 |
| BABCOCK  WILCOX ENTERPRISES | COM | 05614L209 |  | 69426942 | 12032399 | SH |  | DFND | 1 | 12032399 | 0 | 0 |
| BEYOND MEAT INC | NOTE 3/1 | 08862EAB5 |  | 7590 | 30000 | SH |  | DFND | 1 | 30000 | 0 | 0 |
| CHARAH SOLUTIONS INC | COM | 15957P105 |  | 15600001 | 2888889 | SH |  | DFND | 1 | 2888889 | 0 | 0 |
| CHEGG INC | NOTE  0.125% 3/1 | 163092AD1 |  | 46538 | 51000 | SH |  | DFND | 1 | 51000 | 0 | 0 |
| CHEGG INC | NOTE         9/0 | 163092AF6 |  | 21179 | 27000 | SH |  | DFND | 1 | 27000 | 0 | 0 |
| COLOMBIER ACQUISITION CORP | *W EXP 99/99/999 | 19533H116 |  | 11106 | 146714 | SH |  | DFND | 1 | 146714 | 0 | 0 |
| D AND Z MEDIA ACQUISITION CO | *W EXP 01/27/202 | 23305Q114 |  | 5140 | 100000 | SH |  | DFND | 1 | 100000 | 0 | 0 |
| DEEP MEDICINE ACQUISITION CO | RIGHT 09/30/2028 | 243733110 |  | 2856 | 47599 | SH |  | DFND | 1 | 47599 | 0 | 0 |
| DOUBLEDOWN INTERACTIVE CO LT | ADS | 25862B109 |  | 32122869 | 3801523 | SH |  | DFND |  | 3801523 | 0 | 0 |
| DOUBLEDOWN INTERACTIVE CO LT | ADS | 25862B109 |  | 631164 | 74694 | SH |  | DFND | 1 | 74694 | 0 | 0 |
| EOS ENERGY ENTERPRISES INC | *W EXP 05/06/202 | 29415C119 |  | 78000 | 325000 | SH |  | DFND |  | 325000 | 0 | 0 |
| EPIPHANY TECHNOLOGY ACQUISIT | COM CL A | 29429X109 |  | 733006 | 73264 | SH |  | DFND | 1 | 73264 | 0 | 0 |
| FAZE HOLDINGS INC | COMMON STOCK | 31423J102 |  | 20402079 | 11028151 | SH |  | DFND |  | 11028151 | 0 | 0 |
| FAZE HOLDINGS INC | *W EXP 03/01/202 | 31423J110 |  | 20280 | 156001 | SH |  | DFND |  | 156001 | 0 | 0 |
| GARRETT MOTION INC | PFD CONV SER A | 366505204 |  | 261000 | 30000 | SH |  | DFND | 1 | 30000 | 0 | 0 |
| HARROW HEALTH INC | COM | 415858109 |  | 2299977 | 155825 | SH |  | DFND | 1 | 155825 | 0 | 0 |
| IMEDIA BRANDS INC | COM CL A | 452465206 |  | 58823 | 91911 | SH |  | DFND | 1 | 91911 | 0 | 0 |
| INSEEGO CORP | NOTE  3.250% 5/0 | 45782BAD6 |  | 10800 | 18000 | SH |  | DFND | 1 | 18000 | 0 | 0 |
| INNOVATE CORP | COM | 45784J105 |  | 42830 | 22904 | SH |  | DFND |  | 22904 | 0 | 0 |
| INNOVATE CORP | COM | 45784J105 |  | 5261595 | 2813687 | SH |  | DFND | 1 | 2813687 | 0 | 0 |
| JOURNEY MED CORP | COM | 48115J109 |  | 1660214 | 864695 | SH |  | DFND | 1 | 864695 | 0 | 0 |
| KLUDEIN I ACQUISITION CORP | CL A | 49878L109 |  | 2069391 | 202089 | SH |  | DFND | 1 | 202089 | 0 | 0 |
| LAZYDAYS HLDGS INC | COM | 52110H100 |  | 3361194 | 281507 | SH |  | DFND | 1 | 281507 | 0 | 0 |
| LIBERTY LATIN AMERICA LTD | NOTE  2.000% 7/1 | 53069QAB5 |  | 33725 | 38000 | SH |  | DFND | 1 | 38000 | 0 | 0 |
| LIFEMD INC | COM | 53216B104 |  | 2098521 | 1081712 | SH |  | DFND | 1 | 1081712 | 0 | 0 |
| THE LION ELECTRIC COMPANY | COMMON STOCK | 536221104 |  | 1029284 | 459502 | SH |  | DFND | 1 | 459502 | 0 | 0 |
| THE LION ELECTRIC COMPANY | *W EXP 12/16/202 | 536221120 |  | 482829 | 689755 | SH |  | DFND | 1 | 689755 | 0 | 0 |
| LOGISTICS INNOVTN TECHNLGS C | *W EXP 06/15/202 | 54141L118 |  | 373 | 12432 | SH |  | DFND | 1 | 12432 | 0 | 0 |
| MSP RECOVERY INC | *W EXP 05/20/202 | 553745126 |  | 1510 | 60146 | SH |  | DFND | 1 | 60146 | 0 | 0 |
| MARCHEX INC | CL B | 56624R108 |  | 4827994 | 3017496 | SH |  | DFND | 1 | 3017496 | 0 | 0 |
| MINIM INC | COM | 60365W102 |  | 294288 | 1565364 | SH |  | DFND | 1 | 1565364 | 0 | 0 |
| NEOGENOMICS INC | NOTE  0.250% 1/1 | 64049MAB6 |  | 21328 | 33000 | SH |  | DFND | 1 | 33000 | 0 | 0 |
| NEXTNAV INC | COMMON STOCK | 65345N106 |  | 1666924 | 568916 | SH |  | DFND |  | 568916 | 0 | 0 |
| NEXTNAV INC | COMMON STOCK | 65345N106 |  | 7377377 | 2517876 | SH |  | DFND | 1 | 2517876 | 0 | 0 |
| NEXTNAV INC | *W EXP 10/28/202 | 65345N114 |  | 20850 | 55974 | SH |  | DFND | 1 | 55974 | 0 | 0 |
| NUSTAR ENERGY LP | UNIT COM | 67058H102 |  | 224000 | 14000 | SH |  | DFND | 1 | 14000 | 0 | 0 |
| PELOTON INTERACTIVE INC | NOTE 2/1 | 70614WAB6 |  | 354410 | 500000 | SH |  | DFND | 1 | 500000 | 0 | 0 |
| PERPETUA RESOURCES CORP | COM | 714266103 |  | 7389472 | 2530641 | SH |  | DFND | 1 | 2530641 | 0 | 0 |
| PLAYAGS INC | COM | 72814N104 |  | 4286703 | 840530 | SH |  | DFND | 1 | 840530 | 0 | 0 |
| QUANTUM CORP | COM NEW | 747906501 |  | 4169044 | 3824811 | SH |  | DFND | 1 | 3824811 | 0 | 0 |
| RUMBLEON INC | COM CL B | 781386305 |  | 404511 | 62521 | SH |  | DFND | 1 | 62521 | 0 | 0 |
| SEAPORT GLOBAL ACQUISITION I | CLASS A COM | 81221H105 |  | 764250 | 75000 | SH |  | DFND | 1 | 75000 | 0 | 0 |
| SEQUANS COMMUNICATIONS S A | SPONSORED ADS | 817323207 |  | 1242663 | 374296 | SH |  | DFND | 1 | 374296 | 0 | 0 |
| SHOPIFY INC | NOTE  0.125%11/0 | 82509LAA5 |  | 102450 | 120000 | SH |  | DFND | 1 | 120000 | 0 | 0 |
| SORRENTO THERAPEUTICS INC | COM NEW | 83587F202 |  | 4621598 | 5216250 | SH |  | DFND | 1 | 5216250 | 0 | 0 |
| SYNCHRONOSS TECHNOLOGIES INC | COM | 87157B103 |  | 4555147 | 7369596 | SH |  | DFND |  | 7369596 | 0 | 0 |
| SYNCHRONOSS TECHNOLOGIES INC | COM | 87157B103 |  | 2919789 | 4710903 | SH |  | DFND | 1 | 4710903 | 0 | 0 |
| TEEKAY CORPORATION | NOTE  5.000% 1/1 | 87900YAE3 |  | 15002 | 15000 | SH |  | DFND | 1 | 15000 | 0 | 0 |
| TRANSACT TECHNOLOGIES INC | COM | 892918103 |  | 7031841 | 1112633 | SH |  | DFND | 1 | 1112633 | 0 | 0 |
| WAYFAIR INC | NOTE  1.000% 8/1 | 94419LAF8 |  | 23785 | 42000 | SH |  | DFND | 1 | 42000 | 0 | 0 |
| YOTTA ACQUISITION CORPORATIO | *W EXP 03/15/202 | 98741Y111 |  | 3000 | 100000 | SH |  | DFND | 1 | 100000 | 0 | 0 |
| YOTTA ACQUISITION CORPORATIO | RIGHT 03/15/2027 | 98741Y129 |  | 13214 | 81368 | SH |  | DFND | 1 | 81368 | 0 | 0 |
| ALSP ORCHID ACQUISITION CORP | *W EXP 11/03/202 | G0231L123 |  | 1104 | 36800 | SH |  | DFND | 1 | 36800 | 0 | 0 |
| BLUE SAFARI GRP ACQUISITN CO | RIGHT 09/24/2026 | G1195R130 |  | 1218 | 10339 | SH |  | DFND | 1 | 10339 | 0 | 0 |
| BLUERIVER ACQUISITION CORP | *W EXP 01/04/202 | G1261Q115 |  | 150 | 10000 | SH |  | DFND | 1 | 10000 | 0 | 0 |
| ECARX HOLDINGS INC | *W EXP 12/20/202 | G29201111 |  | 4272 | 43550 | SH |  | DFND | 1 | 43550 | 0 | 0 |
| ARES ACQUISITION CORPORATION | COM CL A | G33032106 |  | 824834 | 81910 | SH |  | DFND | 1 | 81910 | 0 | 0 |
| GENIUS SPORTS LIMITED | SHARES CL A | G3934V109 |  | 71000 | 19888 | SH |  | DFND | 1 | 19888 | 0 | 0 |
| INFINT ACQUISITION CORP | *W EXP 99/99/999 | G47862126 |  | 8000 | 100000 | SH |  | DFND | 1 | 100000 | 0 | 0 |
| KISMET ACQUISITION TWO CORP | *W EXP 06/30/202 | G52807115 |  | 90 | 29909 | SH |  | DFND | 1 | 29909 | 0 | 0 |
| SWVL HOLDINGS CORP | CLASS A COM | G86302109 |  | 2740 | 20000 | SH |  | DFND |  | 20000 | 0 | 0 |
| VAHANNA TECH EDGE ACQSTN I C | *W EXP 11/30/202 | G9320Z117 |  | 1677 | 159670 | SH |  | DFND | 1 | 159670 | 0 | 0 |
| LILIUM N V | CLASS A ORD SHS | N52586109 |  | 18388386 | 16130163 | SH |  | DFND | 1 | 16130163 | 0 | 0 |

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