Phillip J. Ahn - May 24, 2022 Form 4 Insider Report for B. Riley Financial, Inc. (RILY)

Role
CFO & Chief Operating Officer
Signature
/s/ Phillip J. Ahn
Stock symbol
RILY
Transactions as of
May 24, 2022
Transactions value $
-$243,012
Form type
4
Date filed
5/26/2022, 05:00 PM
Previous filing
Oct 29, 2021
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 $21.2K +331 +0.18% $64.18 186K Jun 30, 2021 Direct F1
transaction RILY Common Stock Award $0 +22K +11.87% $0.00 208K May 24, 2022 Direct F2
transaction RILY Common Stock Tax liability -$264K -5.33K -2.57% $49.56 203K May 24, 2022 Direct F3
* 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 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.
F3 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.