Bryant R. Riley - 17 Nov 2021 Form 4 Insider Report for B. Riley Financial, Inc. (RILY)

Role
Chairman and Co-CEO, Director, 10%+ Owner
Signature
/s/ Bryant R. Riley
Issuer symbol
RILY
Transactions as of
17 Nov 2021
Net transactions value
+$1,547,000
Form type
4
Filing time
18 Nov 2021, 08:00:25 UTC
Previous filing
29 Oct 2021
Next filing
07 Dec 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 Purchase $1,547,000 +20,000 +0.38% $77.35 5,218,633 17 Nov 2021 Direct F1
holding RILY Common Stock 15,197 17 Nov 2021 UTMA account of S.R. F2, F7
holding RILY Common Stock 15,197 17 Nov 2021 UTMA account of C.R. F3, F7
holding RILY Common Stock 15,197 17 Nov 2021 UTMA account of A.R. F4, F7
holding RILY Common Stock 15,196 17 Nov 2021 UTMA account of E.R. F5, F7
holding RILY Common Stock 95,634 17 Nov 2021 By B. Riley Financial, Inc. 401(k) Profit Sharing Plan FBO Bryant Riley F6
holding RILY Common Stock 200,000 17 Nov 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.