Alan N. Forman - 08 Feb 2023 Form 4 Insider Report for B. Riley Financial, Inc. (RILY)

Role: EVP, General Counsel, Sec
Signature: /s/ Alan N. Forman
Issuer symbol: RILY
Transactions as of: 08 Feb 2023
Net transactions value: $0
Form type: 4
Filing time: 10 Feb 2023, 15:06:18 UTC
Previous filing: 03 Jun 2022
Next filing: 28 Feb 2023
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	RILY	Common Stock	Options Exercise		+30,000	+31%		126,939	08 Feb 2023	Direct	F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Underlying Class	Amount	Exercise Price	Ownership	Footnotes
transaction	RILY	Performance Restricted Stock D Units	Options Exercise	$0	-30,000	-100%	$0.000000^*	0	08 Feb 2023	Common Stock	30,000		Direct	F1

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	Each performance restricted stock unit represented the right to receive a share of Common Stock following the Issuer achieving a certain Total Shareholder Return within three (3) years of the grant date.