B. Riley Financial, Inc. — Director's Dealing 2020

Dec 7, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: B. Riley Financial, Inc. (RILY)
CIK: 0001464790
Period of Report: 2020-12-03

Reporting Person: Ahn Phillip J. (CFO & Chief Operating Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-06-30	Common Stock	A	992	$18.496	Acquired	117099	Direct
2020-12-03	Common Stock	M	100000	—	Acquired	217099	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-12-03	Performance Restricted Stock Units	$	M	100000	Acquired		Common Stock (0)	Direct

Footnotes

F1: Represents shares acquired under the provisions of the B. Riley Financial, Inc. 2018 Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c).

F2: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer.