Filing Details
- Accession Number:
- 0001213900-23-040397
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-05-16 15:20:15
- Reporting Period:
- 2023-05-16
- Accepted Time:
- 2023-05-16 15:20:15
- 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 Woodland Hills CA 91367 | Chairman And Co-Ceo | Yes | Yes | Yes | 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 | 2023-05-16 | 20,000 | $32.95 | 6,640,631 | No | 4 | P | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 17,538 | Indirect | UTMA account of S.R. |
Common Stock | 17,538 | Indirect | UTMA account of C.R. |
Common Stock | 17,538 | Indirect | UTMA account of A.R. |
Common Stock | 17,537 | Indirect | UTMA account of E.R. |
Common Stock | 111,750 | Indirect | By B. Riley Financial, Inc. 401(k) Profit Sharing Plan FBO Bryant Riley |
Common Stock | 207,500 | Indirect | By the Robert Antin Children Irrevocable Trust |
Footnotes
- These transactions were executed in multiple trades at prices ranging from $32.80 to $33.00. 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.
- Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife.
- 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.
- 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 Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, 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.