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Home > Insider Trading > Filing (0001615774-17-006901)

Filing Details

Accession Number:: 0001615774-17-006901
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2017-11-20 16:11:56
Reporting Period:: 2017-11-16

Accepted Time:: 2017-11-20 16:11:56
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
1207269	R Bryant Riley	C/O B. Riley Financial, Inc. 21255 Burbank Blvd, Suite 400 Woodland Hills CA 91367	Chairman And Ceo	Yes	Yes	Yes	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2017-11-16	7,325	$17.15	35,425	No	4	P	Indirect	By B. Riley and Co., LLC 401(k) Profit Sharing Plan FBO Bryant Riley.
Common Stock	Acquisiton	2017-11-17	5,413	$17.70	40,838	No	4	P	Indirect	By B. Riley and Co., LLC 401(k) Profit Sharing Plan FBO Bryant Riley.
Common Stock	Acquisiton	2017-11-20	8,679	$17.75	49,517	No	4	P	Indirect	By B. Riley and Co., LLC 401(k) Profit Sharing Plan FBO Bryant Riley.

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	By B. Riley and Co., LLC 401(k) Profit Sharing Plan FBO Bryant Riley.
No	4	P	Indirect	By B. Riley and Co., LLC 401(k) Profit Sharing Plan FBO Bryant Riley.
No	4	P	Indirect	By B. Riley and Co., LLC 401(k) Profit Sharing Plan FBO Bryant Riley.

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	4,040,186	Direct
Common Stock	200,000	Indirect	By the Robert Antin Children Irrevocable Trust

Footnotes

Bryant Riley beneficially owns 4,038,006 shares directly or jointly with his wife and beneficially owns 2,180 shares in custodial accounts for his children.
Held of record by the Robert Antin Children Irrevocable Trust Dtd 1/1/01 (the "Trust"). Mr. Riley, as Trustee may be deemed to beneficially own the shares held by the Trust.