Filing Details

Accession Number:
0001019687-16-006944
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-07-15 11:31:20
Reporting Period:
2016-07-05
Filing Date:
2016-07-15
Accepted Time:
2016-07-15 11:31:20
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1464790 B. Riley Financial Inc. RILY () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1251859 Daniel Asher 111 W. Jackson Blvd, Suite 2000
Chicago IL 60604
No No Yes 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, Par Value $0.0001 Acquisiton 2016-07-05 100 $8.92 2,111,891 No 4 P Direct
Common Stock, Par Value Of $0.0001 Acquisiton 2016-07-13 100 $9.05 2,111,991 No 4 P Direct
Common Stock, Par Value Of $0.0001 Acquisiton 2016-07-14 400 $9.03 2,112,391 No 4 P Direct
Common Stock, Par Value Of $0.0001 Acquisiton 2016-07-14 610 $9.04 2,113,001 No 4 P Direct
Common Stock, Par Value Of $0.0001 Acquisiton 2016-07-14 3,200 $9.06 2,116,201 No 4 P Direct
Common Stock, Par Value Of $0.0001 Acquisiton 2016-07-14 2,900 $9.08 2,119,101 No 4 P Direct
Common Stock, Par Value Of $0.0001 Acquisiton 2016-07-14 600 $9.10 2,119,701 No 4 P Direct
Common Stock, Par Value Of $0.0001 Acquisiton 2016-07-14 87,500 $9.10 2,207,201 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 P Direct
No 4 P Direct
No 4 P Direct
No 4 P Direct
No 4 P Direct
No 4 P Direct
No 4 P Direct
Footnotes
  1. The price reported is the weighted average sale price for the transactions reported. The prices paid ranged from $8.84 to $9.10. The Reporting Person will provide to the issuer, a security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares purchased at each price within the range.
  2. 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities.
  3. The securities were purchased through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name.