Thomas J. /. Kelleher - Jul 26, 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
Jul 26, 2023
Transactions value $
$521,172
Form type
4
Date filed
7/27/2023, 08:55 AM
Previous filing
Jun 6, 2023
Next filing
Aug 17, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RILY Common Stock Award $21.2K +543 +0.57% $39.08 95.4K Jun 30, 2023 Direct F1
transaction RILY Common Stock Purchase $100K +1.82K +5.63% $55.00 34.1K Jul 26, 2023 See note F2, F3
transaction RILY Common Stock Purchase $400K +7.27K +0.84% $55.00 877K Jul 26, 2023 See note F2, F4
holding RILY Common Stock 5.6K Jul 26, 2023 By wife F5
holding RILY Common Stock 1.74K Jul 26, 2023 By daughter F6
holding RILY Common Stock 1.74K Jul 26, 2023 By daughter F7
holding RILY Common Stock 1.74K Jul 26, 2023 By daughter F8
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents shares acquired under the provisions of the B. Riley Financial, Inc. 2018 Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c).
F2 Represents stock purchased as part of public offering of common stock by the issuer.
F3 Held by self-directed IRA: Thomas John Kelleher IRA.
F4 Held of record by Thomas J. Kelleher and wife as Trustees for the Kelleher Family Trust.
F5 Held with dispositive power for a daughter.
F6 Held with dispositive power for a daughter.
F7 Held with dispositive power for a daughter.
F8 Held with dispositive power for a daughter.