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Filing Details

Accession Number:: 0001213900-21-005181
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-01-29 08:30:22
Reporting Period:: 2021-01-27

Accepted Time:: 2021-01-29 08:30:22
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. 11100 Santa Monica Blvd., Suite 800 Los Angeles CA 90025	Chairman And Co-Ceo	Yes	Yes	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2021-01-27	11,209	$48.42	4,974,886	No	4	P	Direct
Common Stock	Acquisiton	2021-01-28	6,791	$48.71	4,981,677	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct
No	4	P	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	317,915	Indirect	By BRC Partners Opportunity Fund, LP
Common Stock	84,369	Indirect	By B. Riley Financial, Inc. 401(k) Profit Sharing Plan FBO Bryant Riley
Common Stock	6,417	Indirect	UTMA account of S.R.
Common Stock	6,417	Indirect	UTMA account of C.R.
Common Stock	6,417	Indirect	UTMA account of A.R.
Common Stock	6,417	Indirect	UTMA account of E.R.
Common Stock	200,000	Indirect	By the Robert Antin Children Irrevocable Trust

Footnotes

This transaction was executed in multiple trades at prices ranging from $48.10 to $48.80. 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.
This transaction was executed in multiple trades at prices ranging from $48.50 to $48.90. 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.
Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife.
Represents shares held directly by BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"). The Reporting Person holds investment authority and pecuniary interest in BRPLP, and as such, may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRPLP.
B. Riley Financial, Inc. 401(k) Profit Sharing Plan FBO Bryant Riley was formerly known as "B. Riley & Co., LLC 401(k) Profit Sharing Plan FBO Bryant Riley."
The shares are held for S.R., the child of the Reporting Person, through a custodial account established pursuant to the Uniform Transfer to Minors Act ("UTMA") for which the Reporting Person serves as custodian.
The shares are held for C.R., the child of the Reporting Person, through a custodial account established pursuant to the UTMA for which the Reporting Person serves as custodian.
The shares are held for A.R., the child of the Reporting Person, through a custodial account established pursuant to the UTMA for which the Reporting Person serves as custodian.
The shares are held for E.R., the child of the Reporting Person, through a custodial account established pursuant to the UTMA for which the Reporting Person serves as custodian.
The Reporting Person disclaims beneficial ownership of these shares, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose.
Held of record by the Robert Antin Children Irrevocable Trust Dtd 1/1/01 (the "Trust"). The Reporting Person, as Trustee of the Trust, may be deemed to beneficially own the shares held by the Trust.