Thomas J. /. Kelleher - May 24, 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
May 24, 2022
Transactions value $
-$654,985
Form type
4
Date filed
5/26/2022, 05:03 PM
Previous filing
May 12, 2022
Next filing
Jun 3, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RILY Common Stock Award $0 +42.1K +14.11% $0.00 340K May 24, 2022 Direct F1
transaction RILY Common Stock Tax liability -$655K -13.2K -3.88% $49.56 327K May 24, 2022 Direct F2
holding RILY Common Stock 29.3K May 24, 2022 See note F3
holding RILY Common Stock 460K May 24, 2022 See note F4
holding RILY Common Stock 5.6K May 24, 2022 By wife F5
holding RILY Common Stock 1.29K May 24, 2022 By daughter F6
holding RILY Common Stock 1.29K May 24, 2022 By daughter F7
holding RILY Common Stock 1.29K May 24, 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 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 Represents shares withheld by the Company and remitted on behalf of the Reporting Person for payment of taxes in connection with the vesting of shares from Restricted Stock Units granted on May 24, 2019 and May 21, 2020.
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.