Filing Details
- Accession Number:
- 0001213900-20-006567
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-03-16 18:53:58
- Reporting Period:
- 2020-03-13
- Accepted Time:
- 2020-03-16 18:53:58
- 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 |
|---|---|---|---|---|---|---|---|
| 1365572 | M Kenneth Young | C/O B. Riley Financial, Inc. 21255 Burbank Blvd, Suite 400 Woodland Hills CA 91367 | President | No | 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 | 2019-12-31 | 340 | $21.40 | 71,758 | No | 5 | A | Direct | |
| Common Stock | Acquisiton | 2020-03-13 | 3,500 | $20.24 | 13,500 | No | 4 | P | Indirect | See Note |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 5 | A | Direct | |
| No | 4 | P | Indirect | See Note |
Footnotes
- Represents shares acquired under the provisions of the B. Riley Financial, Inc. 2018 Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c).
- This transaction was executed in multiple trades at prices ranging from $20.005 to $20.70. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected.
- Held of record by the Kenneth M. Young Revocable Trust U/A 5/8/15.
Billionaire Hedge Funds
