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

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

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.