Bryant R. Riley - May 24, 2022 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
May 24, 2022
Transactions value $
$0
Form type
4
Date filed
5/26/2022, 05:00 PM
Previous filing
May 13, 2022
Next filing
Jun 14, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RILY Common Stock Award $0 +42.1K +0.72% $0.00 5.88M May 24, 2022 Direct F1, F2
holding RILY Common Stock 15.5K May 24, 2022 UTMA account of S.R. F3, F8
holding RILY Common Stock 15.5K May 24, 2022 UTMA account of C.R. F4, F8
holding RILY Common Stock 15.5K May 24, 2022 UTMA account of A.R. F5, F8
holding RILY Common Stock 15.5K May 24, 2022 UTMA account of E.R. F6, F9
holding RILY Common Stock 104K May 24, 2022 By B. Riley Financial, Inc. 401(k) Profit Sharing Plan FBO Bryant Riley F7
holding RILY Common Stock 200K May 24, 2022 By the Robert Antin Children Irrevocable Trust F9
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents a restricted stock unit that settles in common stock of the Company and vests in three equal installments on June 2, 2023, June 2, 2024 and June 2, 2025.
F2 Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife.
F3 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.
F4 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.
F5 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.
F6 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.
F7 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."
F8 The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, 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.
F9 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.