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

May 26, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: B. Riley Financial, Inc. (RILY)
CIK: 0001464790
Period of Report: 2020-05-21

Reporting Person: KELLEHER THOMAS J /ADV (Director, Co-CEO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-05-21	Common Stock	A	41482	$0.00	Acquired	180103	Direct
2020-05-22	Common Stock	F	8131	$18.54	Disposed	171972	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	15100	Indirect
Common Stock	454748	Indirect
Common Stock	5600	Indirect
Common Stock	1100	Indirect
Common Stock	1100	Indirect
Common Stock	1100	Indirect

Footnotes

F1: Represents a restricted stock unit that settles in common stock of the Company and vests in three equal installments on May 24, 2021, May 24, 2022 and May 24, 2023.

F2: Represents shares withheld by the Company and remitted on behalf of the Reporting Person for payment of taxes in connection with the vesting of shares from Restricted Stock Units granted on June 13, 2017, June 13, 2018 and May 24, 2019.

F3: Held by self-directed IRA: Thomas John Kelleher IRA.

F4: Held of record by Thomas J. Kelleher and M. Meighan Kelleher as Trustees for the Kelleher Family Trust.

F5: Held with dispositive power for Mary Meighan Kelleher IRA.

F6: Held with dispositive power for Lyndsey Kelleher.

F7: Held of record by Thomas J. Kelleher as UTMA custodian for daughter Kaitlin Kelleher.

F8: Held with dispositive power for Mackenna Kelleher.