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Filing Details

Accession Number:
0001213900-19-015987
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-08-15 11:05:17
Reporting Period:
2019-08-13
Accepted Time:
2019-08-15 11:05:17
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
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2019-08-13 11,731 $20.53 4,494,419 No 4 P Direct
Common Stock Acquisiton 2019-08-14 8,269 $20.09 4,502,688 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 P Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 73,617 Indirect By B. Riley Financial, Inc. 401(k) Profit Sharing Plan FBO Bryant Riley
Common Stock 4,875 Indirect UTMA account of S.R.
Common Stock 4,875 Indirect UTMA account of C.R.
Common Stock 4,875 Indirect UTMA account of A.R.
Common Stock 4,875 Indirect UTMA account of E.R.
Common Stock 200,000 Indirect By the Robert Antin Children Irrevocable Trust
Footnotes
  1. Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife.
  2. 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."
  3. The shares are held 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.
  4. The shares are held 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.
  5. The shares are held 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.
  6. The shares are held for 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.
  7. 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.
  8. 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.