Daniel Asher - May 20, 2022 Form 4/A - Amendment 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 $: -$6,266,500
Form type: 4/A - Amendment
Date filed: 5/27/2022, 04:01 PM
Date Of Original Report: May 24, 2022
Previous filing: May 20, 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	Exercise of in-the-money or at-the-money derivative security	-$55K	-1.1K	-0.08%	$50.00	1.37M	May 20, 2022	thru Sphinx Trading	F3
transaction	RILY	Common Stock	Exercise of in-the-money or at-the-money derivative security	-$6.14M	-123K	-8.96%	$50.00	1.25M	May 20, 2022	thru Equitec Proprietary Markers, LLC	F1, F3
transaction	RILY	Common Stock	Exercise of in-the-money or at-the-money derivative security	-$76.5K	-1.7K	-0.14%	$45.00	1.25M	May 20, 2022	thru Equitec Proprietary Markers, LLC	F1, F3
holding	RILY	Common Stock						731K	May 20, 2022	Thru AFOB FIP RILY, LLC	F2, F4

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	This amendment is being made to correct the item 3 transaction code from S to X for the items set forth in table 1. These transactions were assignments on short call positions that were entered by Daniel Asher prior to the May, 13, 2022. In addition the price of the disposal (d) in item4 with respect to the 1,700 assigned shares held through Equitec Proprietary Markets has been corrected to $45
F4	This amendment also corrects the amount of securities beneficially owned (Item 5) through AFOB FIP RILY, LLC.