Form Type: 4

SEC EDGAR Link
Accession Number:0001213900-20-006215
Date:2020-03-11
Issuer: B. RILEY FINANCIAL, INC. (RILY)
Original Submission Date:

Reporting Person:

RILEY BRYANT R
C/O B. RILEY FINANCIAL, INC.
21255 BURBANK BLVD, SUITE 400 WOODLAND HILLS, CA 91367

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2020-03-11 P 4,654 a $20.20 4,507,342 direct
COMMON STOCK 2020-03-11 0 $0.00 73,617 indirect f3
COMMON STOCK 2020-03-11 0 $0.00 4,875 indirect f8
COMMON STOCK 2020-03-11 0 $0.00 4,875 indirect f8
COMMON STOCK 2020-03-11 0 $0.00 4,875 indirect f8
COMMON STOCK 2020-03-11 0 $0.00 4,875 indirect f8
COMMON STOCK 2020-03-11 0 $0.00 200,000 indirect f9
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 this transaction was executed in multiple trades at prices ranging from $20.10 to $20.25. the price reported above reflects the weighted average purchase price. the reporting person hereby undertakes to provide upon request to the sec staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
f2 bryant r. riley (the "reporting person") beneficially owns these shares directly or jointly with his wife.
f3 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."
f4 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.
f5 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.
f6 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.
f7 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.
f8 the reporting person disclaims beneficial ownership of these shares, 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.
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