Thomas J. /adv Kelleher - 26 Jul 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
26 Jul 2023
Net transactions value
+$521,172
Form type
4
Filing time
27 Jul 2023, 08:55:14 UTC
Previous filing
06 Jun 2023
Next filing
17 Aug 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 Award $21,222 +543 +0.57% $39.08 95,415 30 Jun 2023 Direct F1
transaction RILY Common Stock Purchase $99,990 +1,818 +5.6% $55.00 34,118 26 Jul 2023 See note F2, F3
transaction RILY Common Stock Purchase $399,960 +7,272 +0.84% $55.00 876,544 26 Jul 2023 See note F2, F4
holding RILY Common Stock 5,600 26 Jul 2023 By wife F5
holding RILY Common Stock 1,743 26 Jul 2023 By daughter F6
holding RILY Common Stock 1,743 26 Jul 2023 By daughter F7
holding RILY Common Stock 1,743 26 Jul 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.