Form Type: 4

SEC EDGAR Link
Accession Number:0001213900-20-007032
Date:2020-03-16
Issuer: B. RILEY FINANCIAL, INC. (RILY)
Original Submission Date:

Reporting Person:

ANTIN ROBERT L
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 2020-03-20 P 2,000 a $18.65 9,478 direct
COMMON STOCK 2020-03-16 0 $0.00 200,000 indirect f1
COMMON STOCK 2020-03-16 0 $0.00 200,000 indirect f2
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 held of record by robert l. antin and patti antin as trustees for the robert and patti antin living trust. the reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
f2 held of record by the robert antin children irrevocable trust dtd 1/1/01 (the "trust"). the reporting person is the settlor of the trust. the reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
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