Thomas J. /. Kelleher - Mar 15, 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 15, 2024
Transactions value $
-$99,723
Form type
4
Date filed
3/19/2024, 04:30 PM
Previous filing
Mar 6, 2024
Next filing
Jun 4, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RILY Common Stock Tax liability -$99.7K -5.68K -3.18% $17.56 173K Mar 15, 2024 Direct F1
holding RILY Common Stock 892K Mar 15, 2024 See note F2
holding RILY Common Stock 34.1K Mar 15, 2024 See note F3
holding RILY Common Stock 5.6K Mar 15, 2024 By wife F4
holding RILY Common Stock 3.41K Mar 15, 2024 By daughter F5
holding RILY Common Stock 3.41K Mar 15, 2024 By daughter F6
holding RILY Common Stock 3.41K Mar 15, 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.