B. Riley Amends TransAct Technologies Stake

TL;DR

B. Riley updated their 13D filing for TransAct Tech. Watch this space.

AI Summary

B. Riley Financial, Inc. and its affiliates, including BRF Investments, LLC, have filed an amendment (No. 4) to their Schedule 13D regarding TransAct Technologies, Inc. The filing, dated November 14, 2024, indicates a change in beneficial ownership. B. Riley Financial, Inc. is a financial services company, and TransAct Technologies, Inc. is in the computer peripheral equipment sector.

Why It Matters

This filing signals a potential shift in control or strategy for TransAct Technologies, Inc. as a significant investor updates its holdings.

Risk Assessment

Risk Level: medium — Changes in beneficial ownership filings can indicate activist investor activity or strategic shifts, which may impact stock price and company direction.

Key Players & Entities

• B. Riley Financial, Inc. (company) — Filing entity
• BRF Investments, LLC (company) — Affiliated entity
• B. RILEY SECURITIES, INC. (company) — Affiliated entity
• Bryant R. Riley (person) — Member of filing group
• TransAct Technologies, Inc. (company) — Subject company

FAQ

Key Financial Figures

• $0.01 — ame of Issuer) Common Stock, par value $0.01 par value (Title of Class of Securiti

Filing Documents

• ea0221141-13da4briley_trans.htm (SC 13D/A) — 80KB
• 0001213900-24-098590.txt ( ) — 82KB

of the Schedule 13D is hereby amended and restated in its

Item 2 of the Schedule 13D is hereby amended and restated in its entirety as follows: (1) B. Riley Financial, Inc. (“BRF”) is a Delaware corporation with a principal place of business located at 11100 Santa Monica Blvd., Suite 800, Los Angeles, California 90025. The principal business of BRF is serving as a holding company. Set forth on Schedule A annexed hereto (“Schedule A”) is the name and present principal business, occupation or employment and the name, principal business and address of any corporation or other organization in which such employment is conducted, and the citizenship of the executive officers and directors of BRF. To the best of BRF’s knowledge, except as otherwise set forth herein, none of the persons listed on Schedule A beneficially owns any securities of the Issuer or is a party to any contract, agreement, or understanding required to be disclosed herein. (2) B. Riley Securities, Inc. (“BRS”) is a Delaware corporation with a principal place of business located at 11100 Santa Monica Blvd., Suite 800, Los Angeles, California 90025. The principal business of BRS is serving as a broker dealer. (3) BRF Investments, LLC. (“BRFI”) is a Delaware corporation with a principal place of business located at 11100 Santa Monica Blvd., Suite 800, Los Angeles, California 90025. The principal business of BRFI is investing in securities. (4) The address of the business office of Bryant R. Riley is 11100 Santa Monica Blvd., Suite 800, Los Angeles, California 90025. Bryant R. Riley, an individual, is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. During the last five years, none of the Reporting Persons nor any person listed on Schedule A have been: (i) convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors); or (ii) a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such

, Sections (a) and (b) of the Schedule 13D are hereby amended

Item 5, Sections (a) and (b) of the Schedule 13D are hereby amended and restated in its entirety as follows: (a) – (b) 1. As of the date hereof, BRS beneficially owned directly 100,010 shares of Common Stock, representing 1.0% of the Issuer’s Common Stock. 2. As of the date hereof, BRFI beneficially owned directly 835,133 shares of Common Stock, representing 8.3% of the Issuer’s Common Stock. 3. BRF is the parent company of BRS and BRFI. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRS and BRFI. 4. Bryant R. Riley may beneficially own 935,143 shares of Common Stock, representing 9.3% of the Issuer’s Common Stock outstanding and held directly by BRS and BRFI in the manner specified in paragraph (1) above. Bryant R. Riley disclaims beneficial ownership of the shares held by BRS and BRFI except to the extent of his pecuniary interest therein. 6

SIGNATURES

SIGNATURES After reasonable inquiry and to the best of his or its knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct. Dated: November 14, 2024 B. RILEY FINANCIAL, INC. /s/ Bryant Riley Name: Bryant Riley Title: Co-Chief Executive Officer B. RILEY SECURITIES, INC. /s/ Andrew Moore Name: Andrew Moore Title: Chief Executive Officer BRF INVESTMENTS, LLC /s/ Phillip Ahn Name: Phillip Ahn Title: Authorized Signatory /s/ Bryant R. Riley Name: Bryant R. Riley 7 SCHEDULE A Executive Officers and Directors of B. Riley Financial, Inc. Name and Position Present Principal Occupation Bryant R. Riley Chairman of the Board of Directors and Co-Chief Executive Officer Chairman of the Board of Directors and Co-Chief Executive Officer of B. Riley Financial, Inc.; Chief Executive Officer and Board of Managers of B. Riley Capital Management, LLC; and Co-Executive Chairman and Director of B. Riley Securities, Inc. 11100 Santa Monica Blvd. Suite 800 Los Angeles, CA 90025 United States Thomas J. Kelleher Co-Chief Executive Officer and Director Co-Chief Executive Officer and Director of B. Riley Financial, Inc.; Co-Executive Chairman and Director of B. Riley Securities, Inc.; and President and Board of Managers of B. Riley Capital Management, LLC 11100 Santa Monica Blvd. Suite 800 Los Angeles, CA 90025 United States Phillip J. Ahn Chief Financial Officer and Chief Operating Officer Chief Financial Officer and Chief Operating Officer of B. Riley Financial, Inc. 30870 Russell Ranch Rd Suite 250 Westlake Village, CA 91362 United States Alan N. Forman Executive Vice President, General Counsel and Secretary Executive Vice President, General Counsel and Secretary of B. Riley Financial, Inc. 299 Park Avenue, 21st Floor New York, NY 10171 United States Howard E. Weitzman Senior Vice Preside

View Full Filing

View this SC 13D/A filing on SEC EDGAR