Thomas J. /adv Kelleher - 28 May 2021 Form 4 Insider Report for B. Riley Financial, Inc. (RILY)

Role
Co-CEO
Signature
/s/ Thomas J. Kelleher
Issuer symbol
RILY
Transactions as of
28 May 2021
Net transactions value
$0
Form type
4
Filing time
02 Jun 2021, 16:31:22 UTC
Previous filing
26 May 2021
Next filing
29 Oct 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RILY Common Stock Award $0 +42,092 +16% $0.000000 298,548 28 May 2021 Direct F1
holding RILY Common Stock 20,000 28 May 2021 See note F2
holding RILY Common Stock 459,848 28 May 2021 See note F3
holding RILY Common Stock 5,600 28 May 2021 By wife F4
holding RILY Common Stock 1,100 28 May 2021 By daughter F5
holding RILY Common Stock 1,100 28 May 2021 By daughter F6
holding RILY Common Stock 1,100 28 May 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 a restricted stock unit that settles in common stock of the Company and vests in three equal installments on June 2, 2022, June 2, 2023 and June 2, 2024.
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.