BRF

B. Riley Financial Portfolio holdings

AUM $120M
1-Year Return 51.73%
This Quarter Return
-54.66%
1 Year Return
+51.73%
3 Year Return
-28.67%
5 Year Return
+51.76%
10 Year Return
–
AUM
$146M
AUM Growth
-$85.9M
Cap. Flow
+$38.4M
Cap. Flow %
26.24%
Top 10 Hldgs %
87.13%
Holding
52
New
13
Increased
5
Reduced
4
Closed
20

Top Buys

1
ALTG icon
Alta Equipment Group
ALTG
$24.9M
2
QMCO icon
Quantum Corp
QMCO
$23.7M
3
SPOK icon
Spok Holdings
SPOK
$5.21M
4
EXTR icon
Extreme Networks
EXTR
$4.18M
5
WTTR icon
Select Water Solutions
WTTR
$1.76M

Top Sells

1
VATE icon
INNOVATE Corp
VATE
$9.03M
2
BFYT
Benefytt Technologies, Inc. Class A Common Stock
BFYT
$6.01M
3
BRPM.U
B. Riley Principal Merger Corp.
BRPM.U
$4.63M
4
ECC
Eagle Point Credit Co
ECC
$3.07M
5
TUES
Tuesday Morning Corp
TUES
$1.65M

Sector Composition

1 Industrials 53.31%
2 Technology 21.64%
3 Financials 10.37%
4 Consumer Discretionary 7.58%
5 Healthcare 3.56%
Name Market Value Portfolio Weight Shares or Principal Shares
Change % 		Capital Flow
KVHI icon
26
KVH Industries
KVHI
$116M
$118K 0.08%
+12,500
New +$118K
HHS icon
27
Harte-Hanks
HHS
$27.2M
$102K 0.07%
65,000
– –
WES icon
28
Western Midstream Partners
WES
$14.5B
$94K 0.06%
+28,900
New +$94K
AEHR icon
29
Aehr Test Systems
AEHR
$765M
– –
-157,011
Closed -$314K
ATEN icon
30
A10 Networks
ATEN
$1.27B
– –
-50,000
Closed -$344K
DXLG icon
31
Destination XL Group
DXLG
$66.8M
– –
-27,000
Closed -$35K
ECC
32
Eagle Point Credit Co
ECC
$954M
– –
-210,000
Closed -$3.07M
FTK icon
33
Flotek Industries
FTK
$336M
– –
-29,167
Closed -$350K
HFRO
34
Highland Opportunities and Income Fund
HFRO
$342M
– –
-20,000
Closed -$249K
IMMR icon
35
Immersion
IMMR
$230M
– –
-87,500
Closed -$650K
IWM icon
36
iShares Russell 2000 ETF
IWM
$67.8B
– –
0
– –
SKIL icon
37
Skillsoft
SKIL
$132M
– –
-2,477
Closed -$512K
UTZ icon
38
Utz Brands
UTZ
$1.19B
– –
-25,000
Closed -$257K
VATE icon
39
INNOVATE Corp
VATE
$75.2M
– –
-416,106
Closed -$9.03M
NKLA
40
DELISTED
Nikola Corporation Common Stock
NKLA
– –
-1,833
Closed -$568K
FRGI
41
DELISTED
Fiesta Restaurant Group, Inc.
FRGI
– –
-50,000
Closed -$495K
BRMK.WS
42
DELISTED
Broadmark Realty Capital Inc. Warrants, each exercisable for one fourth (1/4th) share of Common Stock at an exercise price of $2.875 per quarter share
BRMK.WS
– –
-550,000
Closed -$209K
LACQ
43
DELISTED
Leisure Acquisition Corp.
LACQ
– –
-50,000
Closed -$521K
LONE
44
DELISTED
Lonestar Resources US Inc. Class A Common Stock
LONE
– –
-580,640
Closed -$1.52M
FNJN
45
DELISTED
Finjan Holdings, Inc.
FNJN
– –
-50,000
Closed -$101K
TUES
46
DELISTED
Tuesday Morning Corp
TUES
– –
-889,276
Closed -$1.65M
BRPM.U
47
DELISTED
B. Riley Principal Merger Corp.
BRPM.U
– –
-462,500
Closed -$4.63M
BRPM.WS
48
DELISTED
B. Riley Principal Merger Corp. Warrants, each whole warrant exercisable for one share of Class A co
BRPM.WS
– –
-24,200
Closed -$20K
EMKR
49
DELISTED
Emcore Corp
EMKR
– –
-10,000
Closed -$304K
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