Thomas J. /. Kelleher - Mar 4, 2024 Form 4 Insider Report for B. Riley Financial, Inc. (RILY)

Role
Co-CEO
Signature
/s/ Thomas J. Kelleher
Stock symbol
RILY
Transactions as of
Mar 4, 2024
Transactions value $
$18
Form type
4
Date filed
3/6/2024, 06:57 PM
Previous filing
Dec 19, 2023
Next filing
Mar 19, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RILY Common Stock Award $17.80 +1 +0% $17.84 95.4K Dec 29, 2023 Direct F1
transaction RILY Common Stock Award $0 +83.1K +87.08% $0.00 179K Mar 4, 2024 Direct F2
holding RILY Common Stock 892K Mar 4, 2024 See note F3
holding RILY Common Stock 34.1K Mar 4, 2024 See note F4
holding RILY Common Stock 5.6K Mar 4, 2024 By wife F5
holding RILY Common Stock 3.41K Mar 4, 2024 By daughter F6
holding RILY Common Stock 3.41K Mar 4, 2024 By daughter F7
holding RILY Common Stock 3.41K Mar 4, 2024 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 a restricted stock unit award that settles in common stock of the Company and vests in three equal installments on March 15, 2025, March 15, 2026 and March 15, 2027.
F3 Held of record by Thomas J. Kelleher and wife as Trustees for the Kelleher Family Trust.
F4 Held by self-directed IRA: Thomas John Kelleher IRA.
F5 Held with dispositive power for wife.
F6 Held with dispositive power for a daughter.
F7 Held with dispositive power for a daughter.
F8 Held with dispositive power for a daughter.