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B. RILEY PRINCIPAL INVESTMENTS, LLC
Date Filed :
Aug 27, 2021
View Exhibits
SEC FORM 4
SEC Form 4
FORM 4
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response:
0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
1. Name and Address of Reporting Person
*
B. Riley Financial, Inc.
(Last)
(First)
(Middle)
11100 SANTA MONICA BLVD SUITE 800
(Street)
LOS ANGELES
CA
90025
(City)
(State)
(Zip)
2. Issuer Name
and
Ticker or Trading Symbol
Eos Energy Enterprises, Inc.
[
EOSE
]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director
X
10% Owner
Officer (give title below)
Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
08/24/2021
4. If Amendment, Date of Original Filed (Month/Day/Year)
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. Transaction Date (Month/Day/Year)
2A. Deemed Execution Date, if any (Month/Day/Year)
3. Transaction 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
Class A Common Stock
08/24/2021
S
94,598
D
$
13.5253
8,431
I
By B. Riley Securities, Inc.
(1)
(2)
Class A Common Stock
08/25/2021
S
8,431
D
$
13.5546
0
I
By B. Riley Securities, Inc.
(1)
(2)
Class A Common Stock
08/25/2021
S
23,521
D
$
13.5546
366,479
I
By BRC Partners Opportunity Fund, LP
(1)
(2)
Class A Common Stock
08/26/2021
S
50,000
D
$
13.8467
316,479
I
By BRC Partners Opportunity Fund, LP
(1)
(2)
Class A Common Stock
3,871,250
I
By B. Riley Principal Sponsor Co. II, LLC
(1)
(2)
Class A Common Stock
2,167,000
I
By BRF Investments, LLC
(1)
(2)
(3)
Class A Common Stock
20,000
D
(4)
Class A Common Stock
5,000
I
By Bryant R. Riley, as UTMA custodian for Charlie Riley
(1)
(2)
Class A Common Stock
5,000
I
By Bryant R. Riley, as UTMA custodian for Susan Riley
(1)
(2)
Class A Common Stock
5,000
I
By Bryant R. Riley, as UTMA custodian for Abigail Riley
(1)
(2)
Class A Common Stock
5,000
I
By Bryant R. Riley, as UTMA custodian for Eloise Riley
(1)
(2)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)
2. Conversion or Exercise Price of Derivative Security
3. Transaction Date (Month/Day/Year)
3A. Deemed Execution Date, if any (Month/Day/Year)
4. Transaction 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 (Month/Day/Year)
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: 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
Warrants (right to buy)
$
11.5
05/22/2021
11/16/2025
Class A Common Stock
325,000
325,000
I
By B. Riley Principal Sponsor Co. II, LLC
(1)
(2)
Warrants (right to buy)
$
11.5
05/22/2021
11/16/2025
Class A Common Stock
25,000
25,000
I
By BRC Partners Opportunity Fund, LP
(1)
(2)
1. Name and Address of Reporting Person
*
B. Riley Financial, Inc.
(Last)
(First)
(Middle)
11100 SANTA MONICA BLVD SUITE 800
(Street)
LOS ANGELES
CA
90025
(City)
(State)
(Zip)
1. Name and Address of Reporting Person
*
B. Riley Principal Sponsor Co. II, LLC
(Last)
(First)
(Middle)
299 PARK AVENUE 21ST FLOOR
(Street)
NEW YORK
NY
10171
(City)
(State)
(Zip)
1. Name and Address of Reporting Person
*
B. RILEY PRINCIPAL INVESTMENTS, LLC
(Last)
(First)
(Middle)
11100 SANTA MONICA BLVD SUITE 800
(Street)
LOS ANGELES
CA
90025
(City)
(State)
(Zip)
1. Name and Address of Reporting Person
*
B. RILEY CAPITAL MANAGEMENT, LLC
(Last)
(First)
(Middle)
11100 SANTA MONICA BLVD. SUITE 800
(Street)
LOS ANGELES
CA
90025
(City)
(State)
(Zip)
1. Name and Address of Reporting Person
*
BRC Partners Management GP, LLC
(Last)
(First)
(Middle)
11100 SANTA MONICA BLVD SUITE 800
(Street)
LOS ANGELES
CA
90025
(City)
(State)
(Zip)
1. Name and Address of Reporting Person
*
BRC Partners Opportunity Fund, LP
(Last)
(First)
(Middle)
11100 SANTA MONICA BLVD. SUITE 800
(Street)
LOS ANGELES
CA
90025
(City)
(State)
(Zip)
1. Name and Address of Reporting Person
*
B. Riley Securities, Inc.
(Last)
(First)
(Middle)
11100 SANTA MONICA BLVD SUITE 800
(Street)
LOS ANGELES
CA
90025
(City)
(State)
(Zip)
1. Name and Address of Reporting Person
*
RILEY BRYANT R
(Last)
(First)
(Middle)
11100 SANTA MONICA BLVD., SUITE 800
(Street)
LOS ANGELES
CA
90025
(City)
(State)
(Zip)
Explanation of Responses:
1. This Form 4 is being filed jointly by B. Riley Financial, Inc. ("BRF"), BRF Investments, LLC ("BRFI"), B. Riley Principal Sponsor Co. II, LLC (the "Sponsor"), B. Riley Principal Investments, LLC ("BRPI"), BRC Partners Opportunity Fund, LP ("BRPLP"), BRC Partners Opportunity Fund GP, LLC ("BRPGP"), B. Riley Capital Management, LLC ("BRCM"), B. Riley Securities, Inc. ("BRS"), and Bryant R. Riley. BRF is the parent company of BRFI and BRS. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRFI and BRS, respectively. BRPI is the sole member of the Sponsor. BRF is the parent company of BRPI. As a result, BRF and BRPI may be deemed to indirectly beneficially own the shares held by the Sponsor. BRPGP is the general partner of BRPLP. BRCM is the sole member of BRPGP. BRF is the parent company of BRCM. As a result, BRF, BRPGP, and BRCM, may be deemed to indirectly beneficially own the shares held by BRPLP.
2. 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 BRFI, BRS, BRPLP and the Sponsor. Each of BRF, BRFI, the Sponsor, BRPI, BRPLP, BRPGP, BRCM, 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.
3. Represents 2,167,000 shares of commons stock previously held directly by BRPI and subsequently transferred to BRFI.
4. Represents shares held directly by Bryant R. Riley.
B. Riley Financial, Inc., by: /s/ Bryant R. Riley, Co-Chief Executive Officer
08/26/2021
B. Riley Principal Sponsor Co. II, LLC, by: /s/ Phillip Ahn, Authorized Signatory
08/26/2021
B. Riley Principal Investments, LLC, by: /s/ Kenneth Young, Chief Executive Officer
08/26/2021
B. Riley Capital Management, LLC, by: /s/ Bryant R. Riley, Chief Executive Officer
08/26/2021
BRC Partners Management GP, LLC, by B. Riley Capital Management, LLC, its sole member, by: /s/ Bryant R. Riley, Chief Executive Officer
08/26/2021
BRC Partners Opportunity Fund, L.P., by: /s/ Bryant R. Riley, Chief Investment Officer
08/26/2021
B. Riley Securities, Inc.., by: /s/ Andrew Moore, Chief Executive Officer
08/26/2021
/s/ Bryant R. Riley
08/26/2021
** Signature of Reporting Person
Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person,
see
Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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 Number.
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