BRYANT R. RILEY - 04 Mar 2024 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
04 Mar 2024
Net transactions value
$0
Form type
4
Filing time
06 Mar 2024, 18:55:28 UTC
Previous filing
17 Nov 2023
Next filing
19 Mar 2024
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RILY Common Stock Award $0 +83,086 +1.2% $0.000000 6,861,859 04 Mar 2024 Direct F1, F2
holding RILY Common Stock 17,538 04 Mar 2024 UTMA account of S.R. F3, F8
holding RILY Common Stock 17,538 04 Mar 2024 UTMA account of C.R. F4, F8
holding RILY Common Stock 17,538 04 Mar 2024 UTMA account of A.R. F5, F8
holding RILY Common Stock 17,537 04 Mar 2024 UTMA account of E.R. F6, F8
holding RILY Common Stock 123,158 04 Mar 2024 By B. Riley Financial, Inc. 401(k) Profit Sharing Plan FBO Bryant Riley F7
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents a restricted stock unit award that settles in common stock of the Company and vests in three equal installments on March 15, 2025, March 15, 2026 and March 15, 2027.
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.

Remarks:

Shares held by the Robert Antin Children Irrevocable Trust Dtd 1/1/01, for which the Reporting Person acted as trustee, have been transferred to a separate Antin family limited liability company. The Reporting Person had no pecuniary interest in the shares, which had been previously included in his reports voluntarily.