Thomas J. /. Kelleher - Feb 24, 2023 Form 4 Insider Report for B. Riley Financial, Inc. (RILY)

Role
Co-CEO
Signature
/s/ Thomas J. Kelleher
Stock symbol
RILY
Transactions as of
Feb 24, 2023
Transactions value $
$0
Form type
4
Date filed
2/28/2023, 04:34 PM
Previous filing
Feb 10, 2023
Next filing
Mar 16, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RILY Common Stock Award $0 +49.2K +10.5% $0.00 518K Feb 24, 2023 Direct F1
holding RILY Common Stock 29.3K Feb 24, 2023 See note F2
holding RILY Common Stock 460K Feb 24, 2023 See note F3
holding RILY Common Stock 5.6K Feb 24, 2023 By wife F4
holding RILY Common Stock 1.74K Feb 24, 2023 By daughter F5
holding RILY Common Stock 1.74K Feb 24, 2023 By daughter F6
holding RILY Common Stock 1.74K Feb 24, 2023 By daughter F7
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents a restricted stock unit award that settles in common stock of the Company and vests in three equal installments on March 15, 2024, March 15, 2025 and March 15, 2026.
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 a daughter.
F5 Held with dispositive power for a daughter.
F6 Held with dispositive power for a daughter.
F7 Held with dispositive power for a daughter.