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B. Riley Financial, Inc. — Director's Dealing 2021
Oct 4, 2021
33748_dirs_2021-10-04_ad26c032-fb64-48a9-9c19-cba9e55fbf3b.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Eos Energy Enterprises, Inc. (EOSE)
CIK: 0001805077
Period of Report: 2021-09-30
Reporting Person: B. Riley Financial, Inc. (10% Owner)
Reporting Person: BRF Investments, LLC (10% Owner)
Reporting Person: B. RILEY CAPITAL MANAGEMENT, LLC (10% Owner)
Reporting Person: BRC Partners Management GP, LLC (10% Owner)
Reporting Person: BRC Partners Opportunity Fund, LP (10% Owner)
Reporting Person: RILEY BRYANT R (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-09-30 | Class A Common Stock | S | 44172 | $14.1102 | Disposed | 5860777 | Indirect |
| 2021-10-01 | Class A Common Stock | S | 87714 | $14.2291 | Disposed | 5773063 | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class A Common Stock | 1769 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Warrants (right to buy) | $11.5 | 2025-11-16 | Class A Common Stock (325000) | 325000 | Indirect |
| Warrants (right to buy) | $11.5 | 2025-11-16 | Class A Common Stock (25000) | 25000 | Indirect |
Footnotes
F1: This Form 4 is being filed jointly by B. Riley Financial, Inc. ("BRF"), BRF Investments, LLC ("BRFI"), BRC Partners Opportunity Fund, LP ("BRPLP"), BRC Partners Opportunity Fund GP, LLC ("BRPGP"), B. Riley Capital Management, LLC ("BRCM"), and Bryant R. Riley. BRF is the parent company of BRFI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRFI. 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.
F2: 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 and BRPLP. Each of BRF, BRFI, BRPLP, BRPGP, BRCM, 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.
F3: Represents shares held directly by Bryant R. Riley.