Bryant R. Riley - Jun 13, 2023 Form 4 Insider Report for B. Riley Financial, Inc. (RILY)

Role
Chairman and Co-CEO, Director, 10%+ Owner
Signature
/s/ Bryant R. Riley
Stock symbol
RILY
Transactions as of
Jun 13, 2023
Transactions value $
$234,984
Form type
4
Date filed
6/15/2023, 09:00 AM
Previous filing
Jun 6, 2023
Next filing
Jul 26, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RILY Common Stock Purchase $235K +6.2K +0.09% $37.91 6.65M Jun 13, 2023 Direct F1, F2
holding RILY Common Stock 17.5K Jun 13, 2023 UTMA account of S.R. F3, F8
holding RILY Common Stock 17.5K Jun 13, 2023 UTMA account of C.R. F4, F8
holding RILY Common Stock 17.5K Jun 13, 2023 UTMA account of A.R. F5, F8
holding RILY Common Stock 17.5K Jun 13, 2023 UTMA account of E.R. F6, F9
holding RILY Common Stock 115K Jun 13, 2023 By B. Riley Financial, Inc. 401(k) Profit Sharing Plan FBO Bryant Riley F7
holding RILY Common Stock 208K Jun 13, 2023 By the Robert Antin Children Irrevocable Trust F9
* 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 $37.61 to $38. 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 Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife.
F3 The shares are held for S.R., the child of the Reporting Person, through a custodial account established pursuant to the Uniform Transfer to Minors Act ("UTMA") for which the Reporting Person serves as custodian.
F4 The shares are held for C.R., the child of the Reporting Person, through a custodial account established pursuant to the UTMA for which the Reporting Person serves as custodian.
F5 The shares are held for A.R., the child of the Reporting Person, through a custodial account established pursuant to the UTMA for which the Reporting Person serves as custodian.
F6 The shares are held for E.R., the child of the Reporting Person, through a custodial account established pursuant to the UTMA for which the Reporting Person serves as custodian.
F7 B. Riley Financial, Inc. 401(k) Profit Sharing Plan FBO Bryant Riley was formerly known as "B. Riley & Co., LLC 401(k) Profit Sharing Plan FBO Bryant Riley."
F8 The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose.
F9 Held of record by the Robert Antin Children Irrevocable Trust Dtd 1/1/01 (the "Trust"). The Reporting Person, as Trustee of the Trust, may be deemed to beneficially own the shares held by the Trust.