BRYANT R. RILEY - 02 Jun 2023 Form 4 Insider Report for B. Riley Financial, Inc. (RILY)

Role: Chairman and Co-CEO, Director, 10%+ Owner
Signature: /s/ Bryant R. Riley
Issuer symbol: RILY
Transactions as of: 02 Jun 2023
Net transactions value: -$507,397
Form type: 4
Filing time: 06 Jun 2023, 16:34:46 UTC
Previous filing: 26 May 2023
Next filing: 15 Jun 2023
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	$507,397	-13,928	-0.21%	$36.43	6,644,847	02 Jun 2023	Direct	F1, F2
holding	RILY	Common Stock						17,538	02 Jun 2023	UTMA account of S.R.	F3, F8
holding	RILY	Common Stock						17,538	02 Jun 2023	UTMA account of C.R.	F4, F8
holding	RILY	Common Stock						17,538	02 Jun 2023	UTMA account of A.R.	F5, F8
holding	RILY	Common Stock						17,537	02 Jun 2023	UTMA account of E.R.	F6, F9
holding	RILY	Common Stock						111,750	02 Jun 2023	By B. Riley Financial, Inc. 401(k) Profit Sharing Plan FBO Bryant Riley	F7
holding	RILY	Common Stock						207,500	02 Jun 2023	By the Robert Antin Children Irrevocable Trust	F9

* 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 May 28, 2021 and May 24, 2022.
F2	Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife.
F3	The shares are held for S.R., the child of the Reporting Person, through a custodial account established pursuant to the Uniform Transfer to Minors Act ("UTMA") for which the Reporting Person serves as custodian.
F4	The shares are held for C.R., the child of the Reporting Person, through a custodial account established pursuant to the UTMA for which the Reporting Person serves as custodian.
F5	The shares are held for A.R., the child of the Reporting Person, through a custodial account established pursuant to the UTMA for which the Reporting Person serves as custodian.
F6	The shares are held for E.R., the child of the Reporting Person, through a custodial account established pursuant to the UTMA for which the Reporting Person serves as custodian.
F7	B. Riley Financial, Inc. 401(k) Profit Sharing Plan FBO Bryant Riley was formerly known as "B. Riley & Co., LLC 401(k) Profit Sharing Plan FBO Bryant Riley."
F8	The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose.
F9	Held of record by the Robert Antin Children Irrevocable Trust Dtd 1/1/01 (the "Trust"). The Reporting Person, as Trustee of the Trust, may be deemed to beneficially own the shares held by the Trust.