Bryant R. Riley - May 28, 2021 Form 4 Insider Report for B. Riley Financial, Inc. (RILY)

Role
Chairman and Co-CEO, Director, 10%+ Owner
Signature
/s/ Bryant R. Riley
Stock symbol
RILY
Transactions as of
May 28, 2021
Transactions value $
$0
Form type
4
Date filed
6/2/2021, 04:31 PM
Next filing
Jun 8, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RILY Common Stock Award $0 +42.1K +0.84% $0.00 5.02M May 28, 2021 Direct F1, F2
holding RILY Common Stock 318K May 28, 2021 By BRC Partners Opportunity Fund, LP F3
holding RILY Common Stock 84.4K May 28, 2021 By B. Riley Financial, Inc. 401(k) Profit Sharing Plan FBO Bryant Riley F4
holding RILY Common Stock 6.42K May 28, 2021 UTMA account of S.R. F5, F9
holding RILY Common Stock 6.42K May 28, 2021 UTMA account of C.R. F6, F9
holding RILY Common Stock 6.42K May 28, 2021 UTMA account of A.R. F7, F9
holding RILY Common Stock 6.42K May 28, 2021 UTMA account of E.R. F8, F9
holding RILY Common Stock 200K May 28, 2021 By the Robert Antin Children Irrevocable Trust F10
* 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 Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife.
F3 Represents shares held directly by BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"). The Reporting Person holds investment authority and pecuniary interest in BRPLP, and as such, may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRPLP.
F4 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."
F5 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.
F6 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.
F7 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.
F8 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.
F9 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.
F10 06/02/2021