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Filing Details

Accession Number:: 0001615774-18-014221
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2018-12-11 15:12:58
Reporting Period:: 2018-12-07

Accepted Time:: 2018-12-11 15:12:58
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
1207269	R Bryant Riley	C/O B. Riley Financial, Inc. 21255 Burbank Blvd, Suite 400 Woodland Hills CA 91367	Chairman And Co-Ceo	Yes	Yes	Yes	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2018-12-07	10,500	$17.28	4,322,666	No	4	P	Direct
Common Stock	Acquisiton	2018-12-07	4,400	$17.40	73,617	No	4	P	Indirect	By B. Riley Financial, Inc. 401(k) Profit Sharing Plan FBO Bryant Riley
Common Stock	Acquisiton	2018-12-10	4,330	$17.15	4,875	No	4	P	Indirect	As custodian for UTMA account of S.R.
Common Stock	Acquisiton	2018-12-10	4,330	$17.15	4,875	No	4	P	Indirect	As custodian for UTMA account of C.R.
Common Stock	Acquisiton	2018-12-10	4,330	$17.15	4,875	No	4	P	Indirect	As custodian for UTMA account of A.R.
Common Stock	Acquisiton	2018-12-10	4,330	$17.15	4,875	No	4	P	Indirect	As custodian for UTMA account of E.R.

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct
No	4	P	Indirect	By B. Riley Financial, Inc. 401(k) Profit Sharing Plan FBO Bryant Riley
No	4	P	Indirect	As custodian for UTMA account of S.R.
No	4	P	Indirect	As custodian for UTMA account of C.R.
No	4	P	Indirect	As custodian for UTMA account of A.R.
No	4	P	Indirect	As custodian for UTMA account of E.R.

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	200,000	Indirect	By the Robert Antin Children Irrevocable Trust

Footnotes

Bryant R. Riley (the "Reporting Person") beneficially owns 4,322,666 shares directly or jointly with his wife. Previously, 2,180 shares held in custodial accounts established pursuant to the UTMA (defined below) for the Reporting Person's children were incorrectly reported as shares held directly by the Reporting Person, which is corrected on this Form 4.
B. Riley Financial, Inc. 401(k) Profit Sharing Plan FBO Bryant Riley was formerly known as "B. Riley & Co., LLC 401(k) Profit Sharing Plan FBO Bryant Riley."
The shares were purchased for S.R., the child of the Reporting Person, through a custodial account established pursuant to the Uniform Transfer to Minors Act ("UTMA") for which the Reporting Person serves as custodian.
The shares were purchased for C.R., the child of the Reporting Person, through a custodial account established pursuant to the UTMA for which the Reporting Person serves as custodian.
The shares were purchased for A.R., the child of the Reporting Person, through a custodial account established pursuant to the UTMA for which the Reporting Person serves as custodian.
The shares were purchased for by E.R., the child of the Reporting Person, through a custodial account established pursuant to the UTMA for which the Reporting Person serves as custodian.
The Reporting Person disclaims beneficial ownership of these shares, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose.
Held of record by the Robert Antin Children Irrevocable Trust Dtd 1/1/01 (the "Trust"). The Reporting Person, as Trustee of the Trust, may be deemed to beneficially own the shares held by the Trust.