Filing Details
- Accession Number:
- 0001213900-23-096980
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-12-19 17:00:09
- Reporting Period:
- 2023-12-15
- Accepted Time:
- 2023-12-19 17:00:09
- 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 | 2023-12-15 | 20,000 | $20.22 | 896,544 | No | 4 | P | Indirect | See note |
| Common Stock | Disposition | 2023-12-15 | 4,986 | $0.00 | 891,558 | No | 4 | G | Indirect | See note |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | See note |
| No | 4 | G | Indirect | See note |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 95,415 | Direct | |
| Common Stock | 34,118 | Indirect | See note |
| Common Stock | 5,600 | Indirect | By wife |
| Common Stock | 3,405 | Indirect | By daughter |
| Common Stock | 3,405 | Indirect | By daughter |
| Common Stock | 3,405 | Indirect | By daughter |
Footnotes
- These transactions were executed in multiple trades at prices ranging from $20.10 to $20.25. 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 of record by Thomas J. Kelleher and wife as Trustees for the Kelleher Family Trust.
- Represents shares gifted by the reporting person as follows: 1,662 shares each to the accounts of his three daughters.
- Held by self-directed IRA: Thomas John Kelleher IRA.
- 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
