Filing Details
- Accession Number:
- 0001615774-16-005276
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-05-09 14:53:44
- Reporting Period:
- 2016-05-05
- Filing Date:
- 2016-05-09
- Accepted Time:
- 2016-05-09 14:53:44
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1464790 | B. Riley Financial Inc. | RILY | () | 1231 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 216309 | /Adv J Thomas Kelleher | C/O B. Riley Financial, Inc. 11100 Santa Monica Blvd., Ste. 800 Santa Monica CA 90025 | President | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2016-05-06 | 16,000 | $9.50 | 456,248 | No | 4 | P | Indirect | See Note |
| Common Stock | Acquisiton | 2016-05-06 | 500 | $9.50 | 600 | No | 4 | P | Indirect | By wife |
| Common Stock | Acquisiton | 2016-05-06 | 500 | $9.50 | 600 | No | 4 | P | Indirect | By Daughter |
| Common Stock | Acquisiton | 2016-05-06 | 500 | $9.50 | 600 | No | 4 | P | Indirect | By daughter |
| Common Stock | Acquisiton | 2016-05-06 | 500 | $9.50 | 600 | No | 4 | P | Indirect | By daughter |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | See Note |
| No | 4 | P | Indirect | By wife |
| No | 4 | P | Indirect | By Daughter |
| No | 4 | P | Indirect | By daughter |
| No | 4 | P | Indirect | By daughter |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 23,910 | Direct |
Footnotes
- Represents shares purchased as part of public offering of common stock by the issuer.
- Held of record by Thomas J. Kelleher and M. Meighan Kelleher as Trustees for the Kelleher Family Trust.
- Held with dispositive power for Mary Meighan Kelleher IRA
- Held with dispositive power for Lyndsey Kelleher
- Held of record by Thomas J. Kelleher as UTMA custodian for daughter Kaitlin Kelleher
- Held with dispositive power for Mackenna Kelleher
Billionaire Hedge Funds
