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

Role
Co-CEO
Signature
/s/ Thomas J. Kelleher
Stock symbol
RILY
Transactions as of
Feb 28, 2022
Transactions value $
$273,396
Form type
4
Date filed
3/2/2022, 08:04 AM
Previous filing
Feb 11, 2022
Next filing
May 12, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RILY Common Stock Award $21.2K +331 +0.11% $64.18 298K Jun 30, 2021 Direct F1
transaction RILY Common Stock Purchase $252K +4.3K +21.5% $58.64 24.3K Feb 28, 2022 See note F2, F3
holding RILY Common Stock 460K Feb 28, 2022 See note F4
holding RILY Common Stock 5.6K Feb 28, 2022 By wife F5
holding RILY Common Stock 1.29K Feb 28, 2022 By daughter F6
holding RILY Common Stock 1.29K Feb 28, 2022 By daughter F7
holding RILY Common Stock 1.29K Feb 28, 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.