Thomas J. /adv Kelleher - 28 Feb 2022 Form 4 Insider Report for B. Riley Financial, Inc. (RILY)

Role
Co-CEO
Signature
/s/ Thomas J. Kelleher
Issuer symbol
RILY
Transactions as of
28 Feb 2022
Net transactions value
+$273,396
Form type
4
Filing time
02 Mar 2022, 08:04:00 UTC
Previous filing
11 Feb 2022
Next filing
12 May 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 +0.11% $64.18 298,300 30 Jun 2021 Direct F1
transaction RILY Common Stock Purchase $252,154 +4,300 +22% $58.64 24,300 28 Feb 2022 See note F2, F3
holding RILY Common Stock 459,848 28 Feb 2022 See note F4
holding RILY Common Stock 5,600 28 Feb 2022 By wife F5
holding RILY Common Stock 1,293 28 Feb 2022 By daughter F6
holding RILY Common Stock 1,293 28 Feb 2022 By daughter F7
holding RILY Common Stock 1,293 28 Feb 2022 By daughter F8
* 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 $58.64 to $58.69. 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 by self-directed IRA: Thomas John Kelleher IRA.
F4 Held of record by Thomas J. Kelleher and wife as Trustees for the Kelleher Family Trust.
F5 Held with dispositive power for a daughter.
F6 Held with dispositive power for a daughter.
F7 Held with dispositive power for a daughter.
F8 Held with dispositive power for a daughter.