Filing Details
- Accession Number:
- 0001213900-23-060135
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-07-27 08:55:14
- Reporting Period:
- 2023-07-26
- Accepted Time:
- 2023-07-27 08:55:14
- 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 | 2023-06-30 | 543 | $39.08 | 95,415 | No | 4 | A | Direct | |
Common Stock | Acquisiton | 2023-07-26 | 1,818 | $55.00 | 34,118 | No | 4 | P | Indirect | See note |
Common Stock | Acquisiton | 2023-07-26 | 7,272 | $55.00 | 876,544 | 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 |
No | 4 | P | Indirect | See note |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
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
- 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).
- Represents stock purchased as part of public offering of common stock by the issuer.
- 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.
- 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.