Thomas J. /. Kelleher - Dec 15, 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
Dec 15, 2023
Transactions value $
$404,392
Form type
4
Date filed
12/19/2023, 05:00 PM
Previous filing
Aug 21, 2023
Next filing
Mar 6, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RILY Common Stock Purchase $404K +20K +2.28% $20.22 897K Dec 15, 2023 See note F1, F2
transaction RILY Common Stock Gift $0 -4.99K -0.56% $0.00 892K Dec 15, 2023 See note F2, F3
holding RILY Common Stock 95.4K Dec 15, 2023 Direct
holding RILY Common Stock 34.1K Dec 15, 2023 See note F4
holding RILY Common Stock 5.6K Dec 15, 2023 By wife F5
holding RILY Common Stock 3.41K Dec 15, 2023 By daughter F6
holding RILY Common Stock 3.41K Dec 15, 2023 By daughter F7
holding RILY Common Stock 3.41K Dec 15, 2023 By daughter F8
* 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 $20.10 to $20.25. 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 Held of record by Thomas J. Kelleher and wife as Trustees for the Kelleher Family Trust.
F3 Represents shares gifted by the reporting person as follows: 1,662 shares each to the accounts of his three daughters.
F4 Held by self-directed IRA: Thomas John Kelleher IRA.
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.