Filing Details

Accession Number:
0001251859-17-000008
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-03-03 16:10:15
Reporting Period:
2017-03-01
Filing Date:
2017-03-03
Accepted Time:
2017-03-03 16:10:15
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
1251859 Daniel Asher 111 W Jackson Blvd
20Th Fl
Chicago IL 60604
No No 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 With A Par Value Of $0.0001 Disposition 2017-03-01 1,067 $15.70 2,350,356 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
Footnotes
  1. 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities.
  2. The securities were sold through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name.