| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | RILY | Common Stock | Purchase | $637K | +30K | +0.44% | $21.23 | 6.78M | Nov 17, 2023 | Direct | F1, F2 |
| holding | RILY | Common Stock | 17.5K | Nov 17, 2023 | UTMA account of S.R. | F3, F8 | |||||
| holding | RILY | Common Stock | 17.5K | Nov 17, 2023 | UTMA account of C.R. | F4, F8 | |||||
| holding | RILY | Common Stock | 17.5K | Nov 17, 2023 | UTMA account of A.R. | F5, F8 | |||||
| holding | RILY | Common Stock | 17.5K | Nov 17, 2023 | UTMA account of E.R. | F6, F9 | |||||
| holding | RILY | Common Stock | 117K | Nov 17, 2023 | By B. Riley Financial, Inc. 401(k) Profit Sharing Plan FBO Bryant Riley | F7 | |||||
| holding | RILY | Common Stock | 208K | Nov 17, 2023 | By the Robert Antin Children Irrevocable Trust | F9 |
| Id | Content |
|---|---|
| F1 | These transactions were executed in multiple trades at prices ranging from $20.725 to $21.68. 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. |