Thomas J. /. Kelleher - Mar 15, 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
Mar 15, 2023
Transactions value $
$311,301
Form type
4
Date filed
3/16/2023, 10:30 AM
Previous filing
Feb 28, 2023
Next filing
May 26, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RILY Common Stock Purchase $93.4K +3K +10.24% $31.13 32.3K Mar 15, 2023 See note F1, F2
transaction RILY Common Stock Purchase $218K +7K +28.87% $31.13 31.2K Mar 15, 2023 See note F1, F3
holding RILY Common Stock 954K Mar 15, 2023 Direct
holding RILY Common Stock 5.6K Mar 15, 2023 By wife F4
holding RILY Common Stock 1.74K Mar 15, 2023 By daughter F5
holding RILY Common Stock 1.74K Mar 15, 2023 By daughter F6
holding RILY Common Stock 1.74K Mar 15, 2023 By daughter F7
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 These transactions were executed in multiple trades at prices ranging from $31.055 to $31.34. The prices reported above reflect the weighted average purchase prices. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.
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. Previously, certain shares were inadvertently reported in this account instead of Mr. Kelleher's direct account, we have revised herewith.
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.