B. RILEY SECURITIES, INC.

PrivateCIK: 1505748
Location

LOS ANGELES, CA

66
Positions
$459.67M
Total AUM (reported)
117.83M
Total Shares

Allocation by class

TOTAL AUM$459.67M66 positions
COM$262.99M57.2%
COMMON STOCK$109.63M23.8%
ADS$32.75M7.1%
CLASS A ORD SHS$18.39M4.0%
COM CL A$9.93M2.2%
COM NEW$8.79M1.9%
UNIT 04/06/2026$5.98M1.3%

Portfolio Concentration

Top 362.1%4–1024.4%11–2512.5%Rest1.1%TOP 1086.4%0%100%
Top 3$285.34M62.1%
4–10$111.98M24.4%
11–25$57.37M12.5%
Rest$4.98M1.1%

Top 3 weight

62.1%

Top 10 weight

86.4%

Voting Authority Distribution

Total shares with voting rights: 117.83M

Sole

Full voting authority

117.83M

shares

% of voting shares100.0%
Shared

Joint voting authority

0.00

shares

% of voting shares0.0%
None

No voting authority

0.00

shares

% of voting shares0.0%

Investment Discretion (by position count)

Sole0
Shared0
Other66
Dominant voting typeSole · 100.0% of voting shares
Institutional Holdings66
Rows:

BABCOCK & WILCOX ENTERPRISES

DFND
COM
Shares27.29M
TypeSH
Market value$157.46M
34.25%
Sole
27.29M
Shared
0.00
None
0.00

ALTA EQUIPMENT GROUP INC

DFND
COMMON STOCK
Shares6M
TypeSH
Market value$79.15M
17.22%
Sole
6M
Shared
0.00
None
0.00

THE ARENA GROUP HOLDINGS INC

DFND
COM
Shares4.59M
TypeSH
Market value$48.73M
10.60%
Sole
4.59M
Shared
0.00
None
0.00

DOUBLEDOWN INTERACTIVE CO LT

DFND
ADS
Shares3.88M
TypeSH
Market value$32.75M
7.13%
Sole
3.88M
Shared
0.00
None
0.00

FAZE HOLDINGS INC

DFND
COMMON STOCK
Shares11.03M
TypeSH
Market value$20.40M
4.44%
Sole
11.03M
Shared
0.00
None
0.00

LILIUM N V

DFND
CLASS A ORD SHS
Shares16.13M
TypeSH
Market value$18.39M
4.00%
Sole
16.13M
Shared
0.00
None
0.00

CHARAH SOLUTIONS INC

DFND
COM
Shares2.89M
TypeSH
Market value$15.60M
3.39%
Sole
2.89M
Shared
0.00
None
0.00

NEXTNAV INC

DFND
COMMON STOCK
Shares3.09M
TypeSH
Market value$9.04M
1.97%
Sole
3.09M
Shared
0.00
None
0.00

AST SPACEMOBILE INC

DFND
COM CL A
Shares1.73M
TypeSH
Market value$8.32M
1.81%
Sole
1.73M
Shared
0.00
None
0.00

SYNCHRONOSS TECHNOLOGIES INC

DFND
COM
Shares12.08M
TypeSH
Market value$7.47M
1.63%
Sole
12.08M
Shared
0.00
None
0.00

PERPETUA RESOURCES CORP

DFND
COM
Shares2.53M
TypeSH
Market value$7.39M
1.61%
Sole
2.53M
Shared
0.00
None
0.00

TRANSACT TECHNOLOGIES INC

DFND
COM
Shares1.11M
TypeSH
Market value$7.03M
1.53%
Sole
1.11M
Shared
0.00
None
0.00

B RILEY PRIN 250 MERGER CORP

DFND
UNIT 04/06/2026
Shares600K
TypeSH
Market value$5.98M
1.30%
Sole
600K
Shared
0.00
None
0.00

INNOVATE CORP

DFND
COM
Shares2.84M
TypeSH
Market value$5.30M
1.15%
Sole
2.84M
Shared
0.00
None
0.00

MARCHEX INC

DFND
CL B
Shares3.02M
TypeSH
Market value$4.83M
1.05%
Sole
3.02M
Shared
0.00
None
0.00

SORRENTO THERAPEUTICS INC

DFND
COM NEW
Shares5.22M
TypeSH
Market value$4.62M
1.01%
Sole
5.22M
Shared
0.00
None
0.00

PLAYAGS INC

DFND
COM
Shares840.53K
TypeSH
Market value$4.29M
0.93%
Sole
840.53K
Shared
0.00
None
0.00

QUANTUM CORP

DFND
COM NEW
Shares3.82M
TypeSH
Market value$4.17M
0.91%
Sole
3.82M
Shared
0.00
None
0.00

LAZYDAYS HLDGS INC

DFND
COM
Shares281.51K
TypeSH
Market value$3.36M
0.73%
Sole
281.51K
Shared
0.00
None
0.00

HARROW HEALTH INC

DFND
COM
Shares155.82K
TypeSH
Market value$2.30M
0.50%
Sole
155.82K
Shared
0.00
None
0.00

LIFEMD INC

DFND
COM
Shares1.08M
TypeSH
Market value$2.10M
0.46%
Sole
1.08M
Shared
0.00
None
0.00

KLUDEIN I ACQUISITION CORP

DFND
CL A
Shares202.09K
TypeSH
Market value$2.07M
0.45%
Sole
202.09K
Shared
0.00
None
0.00

JOURNEY MED CORP

DFND
COM
Shares864.70K
TypeSH
Market value$1.66M
0.36%
Sole
864.70K
Shared
0.00
None
0.00

SEQUANS COMMUNICATIONS S A

DFND
SPONSORED ADS
Shares374.30K
TypeSH
Market value$1.24M
0.27%
Sole
374.30K
Shared
0.00
None
0.00

THE LION ELECTRIC COMPANY

DFND
COMMON STOCK
Shares459.50K
TypeSH
Market value$1.03M
0.22%
Sole
459.50K
Shared
0.00
None
0.00
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