Thomas J. /adv Kelleher - 02 Jun 2023 Form 4 Insider Report for B. Riley Financial, Inc. (RILY)

Role
Co-CEO
Signature
/s/ Thomas J. Kelleher
Issuer symbol
RILY
Transactions as of
02 Jun 2023
Net transactions value
-$507,397
Form type
4
Filing time
06 Jun 2023, 16:31:54 UTC
Previous filing
26 May 2023
Next filing
27 Jul 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 Tax liability $507,397 -13,928 -11% $36.43 116,005 02 Jun 2023 Direct F1
holding RILY Common Stock 32,300 02 Jun 2023 See note F2
holding RILY Common Stock 848,139 02 Jun 2023 See note F3
holding RILY Common Stock 5,600 02 Jun 2023 By wife F4
holding RILY Common Stock 1,743 02 Jun 2023 By daughter F5
holding RILY Common Stock 1,743 02 Jun 2023 By daughter F6
holding RILY Common Stock 1,743 02 Jun 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.