Home > Insider Trading > Filing (0001019687-16-006944)

Filing Details

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
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
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

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.
2,000,000 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.
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.