Daniel Asher - May 20, 2022 Form 4 Insider Report for B. Riley Financial, Inc. (RILY)

Role
10%+ Owner
Signature
Daniel Asher
Stock symbol
RILY
Transactions as of
May 20, 2022
Transactions value $
-$4,480,270
Form type
4
Date filed
5/24/2022, 04:23 PM
Previous filing
May 20, 2022
This filing has been restated, see here for the amended filing

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RILY Common Stock Purchase $942K +18.8K +1.39% $50.09 1.37M May 20, 2022 thru Equitec Proprietary Markers, LLC F1
transaction RILY Common Stock Sale -$55K -1.1K -0.08% $50.00 1.37M May 20, 2022 thru Sphinx Trading, LP
transaction RILY Common Stock Sale -$6.14M -123K -8.96% $50.00 1.25M May 20, 2022 thru Equitec Proprietary Markers, LLC F1
transaction RILY Common Stock Sale -$85K -1.7K -0.14% $50.00 1.25M May 20, 2022 thru Equitec Proprietary Markers, LLC F1
transaction RILY Common Stock Purchase $798K +16.1K +1.29% $49.60 1.26M May 23, 2022 thru Equitec Proprietary Markers, LLC F1
transaction RILY Common Stock Purchase $54.6K +1.1K +0.09% $49.60 1.26M May 23, 2022 thru Sphinx Trading, LP
holding RILY Common Stock 73.8K May 20, 2022 Thru AFOB FIP RILY, LLC F2
holding RILY Common Stock 825K May 20, 2022 thru DJ Fund Investments, LLC - Series E F3
* 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.