Thomas J. /. Kelleher - May 24, 2021 Form 4 Insider Report for B. Riley Financial, Inc. (RILY)

Role
Co-CEO
Signature
/s/ Thomas J. Kelleher
Stock symbol
RILY
Transactions as of
May 24, 2021
Transactions value $
-$1,279,935
Form type
4
Date filed
5/26/2021, 04:20 PM
Next filing
Jun 2, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RILY Common Stock Tax liability -$1.28M -17.3K -6.34% $73.78 256K May 24, 2021 Direct F1
holding RILY Common Stock 20K May 24, 2021 See note F2
holding RILY Common Stock 460K May 24, 2021 See note F3
holding RILY Common Stock 5.6K May 24, 2021 By wife F4
holding RILY Common Stock 1.1K May 24, 2021 By daughter F5
holding RILY Common Stock 1.1K May 24, 2021 By daughter F6
holding RILY Common Stock 1.1K May 24, 2021 By daughter F7
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents shares withheld by the Company and remitted on behalf of the Reporting Person for payment of taxes in connection with the vesting of shares from Restricted Stock Units granted on June 13, 2018, May 24, 2019 and May 21, 2020.
F2 Held by self-directed IRA: Thomas John Kelleher IRA.
F3 Held of record by Thomas J. Kelleher and wife as Trustees for the Kelleher Family Trust.
F4 Held with dispositive power for a daughter.
F5 Held with dispositive power for a daughter.
F6 Held with dispositive power for a daughter.
F7 Held with dispositive power for a daughter.