Phillip J. Ahn - Feb 8, 2023 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
Feb 8, 2023
Transactions value $
-$442,966
Form type
4
Date filed
2/10/2023, 03:12 PM
Previous filing
Jun 3, 2022
Next filing
Feb 28, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RILY Common Stock Options Exercise +75K +37.62% 274K Feb 8, 2023 Direct F1
transaction RILY Common Stock Tax liability -$443K -11.2K -4.08% $39.60 263K Feb 8, 2023 Direct

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 -75K -100% $0.00* 0 Feb 8, 2023 Common Stock 75K 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.