Thomas J. /adv Kelleher - 31 Dec 2022 Form 5 Insider Report for B. Riley Financial, Inc. (RILY)

Role
Co-CEO
Signature
/s/ Thomas J. Kelleher
Issuer symbol
RILY
Transactions as of
31 Dec 2022
Net transactions value
$0
Form type
5
Filing time
14 Feb 2023, 15:05:42 UTC
Previous filing
03 Jun 2022
Next filing
10 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 Gift $0 -1,350 -0.29% $0.000000 468,855 21 Dec 2022 Direct F1
holding RILY Common Stock 29,300 31 Dec 2022 See note F2
holding RILY Common Stock 459,848 31 Dec 2022 See note F3
holding RILY Common Stock 5,600 31 Dec 2022 By wife F4
holding RILY Common Stock 1,743 31 Dec 2022 By daughter F5
holding RILY Common Stock 1,743 31 Dec 2022 By daughter F6
holding RILY Common Stock 1,743 31 Dec 2022 By daughter F7
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents shares gifted by the reporting person as follows: 450 shares each to the accounts of his three daughters.
F2 Held by self-directed IRA: Thomas John Kelleher IRA.
F3 Held of record by Thomas J. Kelleher and wife as Trustees for the Kelleher Family Trust.
F4 Held with dispositive power for wife.
F5 Held with dispositive power for a daughter.
F6 Held with dispositive power for a daughter.
F7 Held with dispositive power for a daughter.