Filing Details
- Accession Number:
- 0001213900-23-020460
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-03-16 10:30:08
- Reporting Period:
- 2023-03-15
- Accepted Time:
- 2023-03-16 10:30:08
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1464790 | B. Riley Financial Inc. | RILY | () | 1231 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 216309 | /Adv J Thomas Kelleher | C/O B. Riley Financial, Inc 11100 Santa Monica Blvd., Suite 800 Los Angeles CA 90025 | Co-Ceo | 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 | 2023-03-15 | 3,000 | $31.13 | 32,300 | No | 4 | P | Indirect | See note |
| Common Stock | Acquisiton | 2023-03-15 | 7,000 | $31.13 | 31,248 | No | 4 | P | Indirect | See note |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | See note |
| No | 4 | P | Indirect | See note |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 953,680 | Direct | |
| Common Stock | 5,600 | Indirect | By wife |
| Common Stock | 1,743 | Indirect | By daughter |
| Common Stock | 1,743 | Indirect | By daughter |
| Common Stock | 1,743 | Indirect | By daughter |
Footnotes
- These transactions were executed in multiple trades at prices ranging from $31.055 to $31.34. The prices reported above reflect the weighted average purchase prices. 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 transactions were effected.
- Held by self-directed IRA: Thomas John Kelleher IRA.
- Held of record by Thomas J. Kelleher and wife as Trustees for the Kelleher Family Trust. Previously, certain shares were inadvertently reported in this account instead of Mr. Kelleher's direct account, we have revised herewith.
- Held with dispositive power for a daughter.
- Held with dispositive power for a daughter.
- Held with dispositive power for a daughter.
- Held with dispositive power for a daughter.
Billionaire Hedge Funds
