Filing Details

Accession Number:
0001213900-23-087668
Form Type:
4
Zero Holdings:
No
Publication Time:
2023-11-15 19:00:57
Reporting Period:
2023-11-13
Accepted Time:
2023-11-15 19:00:57
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1464790 B. Riley Financial Inc. RILY Investment Advice (6282) 270223495
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1746643 Andrew Moore C/O B. Riley Financial, Inc.
11100 Santa Monica Blvd., Suite 800
Los Angeles CA 90025
Ceo B. Riley Securities, Inc. 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 Disposition 2023-11-13 61,609 $20.35 318,054 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
Footnotes
  1. The sales reported in this Form 4 were made by a broker, without instruction by the Reporting Person, to satisfy a margin call. As a Section 16 filer, the Reporting Person has not otherwise sold shares of the Issuer's common stock and the Reporting Person intends to continue increasing his investment in the Issuer over time.
  2. These transactions were executed in multiple trades at prices ranging from $16.72 to $24.14. The prices reported above reflect the weighted average sales prices. The Reporting Person hereby undertakes to provide upon request from 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.