Thomas J. /. Kelleher - May 28, 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 28, 2021
Transactions value $
$0
Form type
4
Date filed
6/2/2021, 04:31 PM
Previous filing
May 26, 2021
Next filing
Oct 29, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RILY Common Stock Award $0 +42.1K +16.41% $0.00 299K May 28, 2021 Direct F1
holding RILY Common Stock 20K May 28, 2021 See note F2
holding RILY Common Stock 460K May 28, 2021 See note F3
holding RILY Common Stock 5.6K May 28, 2021 By wife F4
holding RILY Common Stock 1.1K May 28, 2021 By daughter F5
holding RILY Common Stock 1.1K May 28, 2021 By daughter F6
holding RILY Common Stock 1.1K May 28, 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.