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
  1. 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).
  2. Represents stock purchased as part of public offering of common stock by the issuer.
  3. Held by self-directed IRA: Thomas John Kelleher IRA.
  4. Held of record by Thomas J. Kelleher and wife as Trustees for the Kelleher Family Trust.
  5. Held with dispositive power for a daughter.
  6. Held with dispositive power for a daughter.
  7. Held with dispositive power for a daughter.
  8. Held with dispositive power for a daughter.