Form Type: 4

SEC EDGAR Link
Accession Number:0001213900-20-015462
Date:2020-06-18
Issuer: B. RILEY FINANCIAL, INC. (RILY)
Original Submission Date:

Reporting Person:

D AGOSTINO ROBERT P
C/O B. RILEY FINANCIAL, INC.
21255 BURBANK BOULEVARD, 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 2020-06-18 A 3,456 a $0.00 138,509 direct
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 represents a restricted stock unit that settles in common stock of the company and vests in full on the earlier of may 21, 2021, or the company's next annual shareholder meeting.
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