B. Riley Financial, Inc. — Director's Dealing 2021

Apr 12, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: ALTA EQUIPMENT GROUP INC. (ALTG)
CIK: 0001759824
Period of Report: 2021-04-12

Reporting Person: B. Riley Financial, Inc. (10% Owner)
Reporting Person: B. Riley Principal Sponsor Co., 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: B. RILEY PRINCIPAL INVESTMENTS, LLC (10% Owner)
Reporting Person: RILEY BRYANT R (10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-04-12	Common Stock	C	132826	—	Acquired	4811666	Indirect
2021-04-12	Common Stock	C	180976	—	Acquired	1350453	Indirect
2021-04-12	Common Stock	C	54243	—	Acquired	54243	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-04-12	Warrants (right to buy)	$	C	505045	Disposed		Common Stock (132826)	Indirect
2021-04-12	Warrants (right to buy)	$	C	688125	Disposed		Common Stock (180976)	Indirect
2021-04-12	Warrants (right to buy)	$	C	206250	Disposed		Common Stock (54243)	Indirect

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	211174	Direct

Footnotes

F1: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company, a registered investment advisor ("BRCM"), B. Riley Principal Sponsor Co., LLC (the "Sponsor"), B. Riley Principal Investments, LLC, a Delaware limited liability company ("BRPI") and Bryant R. Riley.

F2: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the shares held by BRPLP. BRPI is the sole member of the Sponsor. BRF is the parent company of BRS and BRPI. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS and BPRI. As a result, BRF and BRPI may be deemed to indirectly beneficially own the shares held by the Sponsor.

F3: 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 BRF, BRS, BRPLP and the Sponsor. Each of BRF, BRS, BRPGP, BRCM, BRPLP, the Sponsor, and BRPI (collectively, the "B. Riley Entities") 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.

F4: Represents shares held directly by Bryant R. Riley.

F5: As reported in the Current Report on Form 8-K filed by Alta Equipment Group Inc. (the "Issuer") with the Securities and Exchange Commission (the "SEC") on March 22, 2021, on March 22, 2021, the Issuer filed a definitive Schedule 14C Information Statement (the "Information Statement") with the SEC describing the mandatory exchange, pursuant to Amendment No. 1 to the Warrant Agreement (as defined below), dated March 3, 2021 between the Issuer and Continental Stock Transfer & Trust Company (the "Warrant Agent"), of the Issuer's outstanding warrants (the "Warrants") for shares of the Issuer's common stock at an exchange ratio of 0.263 shares of common stock per Warrant, which became effective on April 12, 2021, the next business day following the twentieth calendar day after the mailing of the Information Statement to the holders of the Warrants.

F6: Pursuant to the warrant agreement (the "Warrant Agreement") dated as of April 8, 2019, by and between the Issuer (f/k/a B. Riley Principal Merger Corp., or BRPM) and the Warrant Agent, the Warrants originally became exercisable on April 11, 2020, which was 12 months from the closing of the initial public offering of the Issuer.

F7: Pursuant to the Warrant Agreement, the Warrants were originally set to expire five years after the completion of the business combination or earlier upon redemption or liquidation, as further described in the Prospectus filed by BRPM with the SEC on April 9, 2019.