Bryant R. Riley - Nov 17, 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
Nov 17, 2021
Transactions value $
$1,547,000
Form type
4
Date filed
11/18/2021, 08:00 AM
Previous filing
Oct 29, 2021
Next filing
Dec 7, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RILY Common Stock Purchase $1.55M +20K +0.38% $77.35 5.22M Nov 17, 2021 Direct F1
holding RILY Common Stock 15.2K Nov 17, 2021 UTMA account of S.R. F2, F7
holding RILY Common Stock 15.2K Nov 17, 2021 UTMA account of C.R. F3, F7
holding RILY Common Stock 15.2K Nov 17, 2021 UTMA account of A.R. F4, F7
holding RILY Common Stock 15.2K Nov 17, 2021 UTMA account of E.R. F5, F7
holding RILY Common Stock 95.6K Nov 17, 2021 By B. Riley Financial, Inc. 401(k) Profit Sharing Plan FBO Bryant Riley F6
holding RILY Common Stock 200K Nov 17, 2021 By the Robert Antin Children Irrevocable Trust F8
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife.
F2 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.
F3 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.
F4 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.
F5 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.
F6 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."
F7 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.
F8 Held of record by the Robert Antin Children Irrevocable Trust Dtd 1/1/01 (the "Trust"). The Reporting Person, as Trustee of the Trust, may be deemed to beneficially own the shares held by the Trust.

Remarks:

As of September 30, 2021, by virtue of the removal of any trading and voting power authority in any capacity of Bryant R. Riley over the assets of BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), Bryant R. Riley no longer may be deemed to beneficially own the shares held by BRPLP.