Thomas J. /adv Kelleher - 31 Dec 2021 Form 5 Insider Report for B. Riley Financial, Inc. (RILY)

Role
Co-CEO
Signature
/s/ Thomas J. Kelleher
Issuer symbol
RILY
Transactions as of
31 Dec 2021
Net transactions value
$0
Form type
5
Filing time
11 Feb 2022, 16:15:29 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 Gift $0 -579 -0.19% $0.000000 297,969 22 Nov 2021 Direct F1
holding RILY Common Stock 20,000 31 Dec 2021 See note F2
holding RILY Common Stock 459,848 31 Dec 2021 See note F3
holding RILY Common Stock 5,600 31 Dec 2021 By wife F4
holding RILY Common Stock 1,293 31 Dec 2021 By daughter F5
holding RILY Common Stock 1,293 31 Dec 2021 By daughter F6
holding RILY Common Stock 1,293 31 Dec 2021 By daughter F7
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents shares gifted by the reporting person as follows: 193 shares each to the accounts of his three daughters.
F2 Held by self-directed IRA: Thomas John Kelleher IRA.
F3 Held of record by Thomas J. Kelleher and wife as Trustees for the Kelleher Family Trust.
F4 Held with dispositive power for wife.
F5 Held with dispositive power for a daughter.
F6 Held with dispositive power for a daughter.
F7 Held with dispositive power for a daughter.