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B. Riley Financial, Inc. — Director's Dealing 2015
May 12, 2015
33748_dirs_2015-05-12_f8a22fa7-3bfb-42ff-9c35-45b38ad9a9a8.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: B. Riley Financial, Inc. (RILY)
CIK: 0001464790
Period of Report: 2015-05-09
Reporting Person: HILTON HUGH G (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-05-09 | Common Stock | A | 5000 | — | Acquired | 16953 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 2021 | Indirect |
Footnotes
F1: Represents a restricted stock unit that settles in common stock of the Company and vests in three equal installments on December 10, 2015, December 10, 2016 and December 10, 2017.
F2: The reporting person is Chief Executive Officer of Alvarez & Marsal Capital real Estate, LLC ("A&M"), and may be deemed to share voting and investment power over the securities held by A&M. The reporting person disclaims beneficial ownership over such securities except to the extent of this pecuniary interest therein. The inclusion of these securities in this report shall not be deemed an admission of beneficial owner ship of the reported securities for purposes of Section 16 or any other purposes.