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B. Riley Financial, Inc. — Director's Dealing 2021
Aug 31, 2021
33748_dirs_2021-08-31_4b809830-1e86-46df-8a3b-29937883be05.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: 2021-08-27
Reporting Person: B. Riley Financial, Inc. (10% Owner)
Reporting Person: BRF Investments, LLC (10% Owner)
Reporting Person: B. Riley Principal Sponsor Co. II, LLC (10% Owner)
Reporting Person: B. RILEY PRINCIPAL 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: B. Riley Securities, Inc. (10% Owner)
Reporting Person: RILEY BRYANT R (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-08-27 | Class A Common Stock | S | 100000 | $13.9081 | Disposed | 216479 | Indirect |
| 2021-08-30 | Class A Common Stock | S | 970 | $14.0312 | Disposed | 215509 | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class A Common Stock | 3871250 | Indirect |
| Class A Common Stock | 2167000 | Indirect |
| Class A Common Stock | 20000 | Direct |
| Class A Common Stock | 5000 | Indirect |
| Class A Common Stock | 5000 | Indirect |
| Class A Common Stock | 5000 | Indirect |
| Class A Common Stock | 5000 | Indirect |
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"), 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.
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, 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.
F3: Represents 2,167,000 shares of commons stock previously held directly by BRPI and subsequently transferred to BRFI.
F4: Represents shares held directly by Bryant R. Riley.