Thomas J. /. Kelleher - Jun 2, 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
Jun 2, 2023
Transactions value $
-$507,397
Form type
4
Date filed
6/6/2023, 04:31 PM
Previous filing
May 26, 2023
Next filing
Jul 27, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RILY Common Stock Tax liability -$507K -13.9K -10.72% $36.43 116K Jun 2, 2023 Direct F1
holding RILY Common Stock 32.3K Jun 2, 2023 See note F2
holding RILY Common Stock 848K Jun 2, 2023 See note F3
holding RILY Common Stock 5.6K Jun 2, 2023 By wife F4
holding RILY Common Stock 1.74K Jun 2, 2023 By daughter F5
holding RILY Common Stock 1.74K Jun 2, 2023 By daughter F6
holding RILY Common Stock 1.74K Jun 2, 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 shares withheld by the Company and remitted on behalf of the Reporting Person for payment of taxes in connection with the vesting of shares from Restricted Stock Units granted on May 28, 2021 and May 24, 2022.
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.