Daniel Asher - May 17, 2022 Form 4 Insider Report for B. Riley Financial, Inc. (RILY)

Role: 10%+ Owner
Signature: Daniel Asher
Stock symbol: RILY
Transactions as of: May 17, 2022
Transactions value $: $281,130
Form type: 4
Date filed: 5/18/2022, 05:06 PM
Previous filing: May 17, 2022
Next filing: May 19, 2022
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	RILY	Common Stock	Sale	-$15.3K	-300	-0.02%	$51.00	1.32M	May 17, 2022	Thru Equitec Proprietary Markets, LLC	F1
transaction	RILY	Common Stock	Purchase	$296K	+6K	+0.45%	$49.41	1.33M	May 17, 2022	thru Equitec Proprietary Markers, LLC	F1
holding	RILY	Common Stock						731K	May 17, 2022	Thru AFOB FIP RILY, LLC	F2
holding	RILY	Common Stock						825K	May 17, 2022	thru DJ Fund Investments, LLC - Series E	F3

Showing 1 to 4 of 4 entries

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	The reporting person controls 50% of the membership interest in Equitec Proprietary Markets, LLC
F2	AFO Blackberry, LLC is the managing member of AFOB FIP RILY, LLC and Daniel Asher is deemed to control AFO Blackberry, LLC
F3	Daniel Asher holds shared investment and voting power over the 825,000 DJ Fund shares with DJ Fund, pursuant to an informal, unwritten agreement.