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

Role
Co-CEO
Signature
/s/ Thomas J. Kelleher
Stock symbol
RILY
Transactions as of
Dec 31, 2022
Transactions value $
$0
Form type
5
Date filed
2/14/2023, 03:05 PM
Previous filing
Jun 3, 2022
Next filing
Feb 10, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RILY Common Stock Gift $0 -1.35K -0.29% $0.00 469K Dec 21, 2022 Direct F1
holding RILY Common Stock 29.3K Dec 31, 2022 See note F2
holding RILY Common Stock 460K Dec 31, 2022 See note F3
holding RILY Common Stock 5.6K Dec 31, 2022 By wife F4
holding RILY Common Stock 1.74K Dec 31, 2022 By daughter F5
holding RILY Common Stock 1.74K Dec 31, 2022 By daughter F6
holding RILY Common Stock 1.74K Dec 31, 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.