Thomas J. /adv Kelleher - 15 Mar 2024 Form 4 Insider Report for B. Riley Financial, Inc. (RILY)

Role
Co-CEO
Signature
/s/ Thomas J. Kelleher
Issuer symbol
RILY
Transactions as of
15 Mar 2024
Net transactions value
-$99,723
Form type
4
Filing time
19 Mar 2024, 16:30:16 UTC
Previous filing
06 Mar 2024
Next filing
04 Jun 2024
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RILY Common Stock Tax liability $99,723 -5,679 -3.2% $17.56 172,823 15 Mar 2024 Direct F1
holding RILY Common Stock 891,558 15 Mar 2024 See note F2
holding RILY Common Stock 34,118 15 Mar 2024 See note F3
holding RILY Common Stock 5,600 15 Mar 2024 By wife F4
holding RILY Common Stock 3,405 15 Mar 2024 By daughter F5
holding RILY Common Stock 3,405 15 Mar 2024 By daughter F6
holding RILY Common Stock 3,405 15 Mar 2024 By daughter F7
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents shares withheld by the Company and remitted on behalf of the Reporting Person for payment of taxes in connection with the vesting of shares from Restricted Stock Units granted on February 24, 2023.
F2 Held of record by Thomas J. Kelleher and wife as Trustees for the Kelleher Family Trust.
F3 Held by self-directed IRA: Thomas John Kelleher IRA.
F4 Held with dispositive power for wife.
F5 Held with dispositive power for a daughter.
F6 Held with dispositive power for a daughter.
F7 Held with dispositive power for a daughter.