Andrew Moore - 17 Aug 2021 Form 4 Insider Report for B. Riley Financial, Inc. (RILY)

Role
CEO B. Riley Securities, Inc.
Signature
/s/ Andrew Moore
Issuer symbol
RILY
Transactions as of
17 Aug 2021
Net transactions value
+$339,742
Form type
4
Filing time
17 Aug 2021, 15:08:53 UTC
Previous filing
02 Jun 2021
Next filing
10 Sep 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 $21,242 +331 +0.14% $64.18 229,427 30 Jun 2021 Direct F1
transaction RILY Common Stock Purchase $318,500 +5,000 +2.2% $63.70 229,758 17 Aug 2021 Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents shares acquired under the provisions of the B. Riley Financial, Inc. 2018 Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c).
F2 These transactions were executed in multiple trades at prices ranging from $63.30 to $63.80. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.