Filing Details
- Accession Number:
- 0001213900-21-056601
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-11-04 09:00:32
- Reporting Period:
- 2021-11-03
- Accepted Time:
- 2021-11-04 09:00:32
- 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. 11100 Santa Monica Blvd., Suite 800 Los Angeles CA 90025 | 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 | 2021-06-30 | 331 | $64.18 | 155,276 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2021-11-03 | 1,000 | $78.31 | 17,100 | No | 4 | P | Indirect | See Note |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | 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 $78.27 to $78.33. 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
