Howard Weitzman - Feb 8, 2023 Form 4 Insider Report for B. Riley Financial, Inc. (RILY)

Role: SVP, Chief Accounting Officer
Signature: /s/ Howard Weitzman
Stock symbol: RILY
Transactions as of: Feb 8, 2023
Transactions value $: -$66,484
Form type: 4
Date filed: 2/10/2023, 03:09 PM
Previous filing: Feb 14, 2023
Next filing: Feb 28, 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	Award	$16.7K	+575	+1.92%	$29.07	30.5K	Dec 30, 2022	Direct	F1
transaction	RILY	Common Stock	Options Exercise		+20K	+65.63%		50.5K	Feb 8, 2023	Direct	F2
transaction	RILY	Common Stock	Tax liability	-$83.2K	-2.1K	-4.16%	$39.60	48.4K	Feb 8, 2023	Direct
holding	RILY	Common Stock						7.5K	Feb 8, 2023	See Footnote	F3

Showing 1 to 4 of 4 entries

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 Units	Options Exercise	$0	-20K	-100%	$0.00^*	0	Feb 8, 2023	Common Stock	20K		Direct	F2

* 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	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.
F3	Held by self-directed 401(k) Plan.