Kenneth M. Young - 03 Nov 2021 Form 4 Insider Report for B. Riley Financial, Inc. (RILY)

Role
President
Signature
/s/ Kenneth M. Young
Issuer symbol
RILY
Transactions as of
03 Nov 2021
Net transactions value
+$99,555
Form type
4
Filing time
04 Nov 2021, 09:00:32 UTC
Previous filing
29 Oct 2021
Next filing
02 Mar 2022
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 +0.21% $64.18 155,276 30 Jun 2021 Direct F1
transaction RILY Common Stock Purchase $78,313 +1,000 +6.2% $78.31 17,100 03 Nov 2021 See Note F2, F3
* 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 This transaction was executed in multiple trades at prices ranging from $78.27 to $78.33. 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.
F3 Held of record by the Kenneth M. Young Revocable Trust U/A 5/8/15.