B. Riley Financial, Inc. — Director's Dealing 2021

Oct 29, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: B. Riley Financial, Inc. (RILY)
CIK: 0001464790
Period of Report: 2021-10-27

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

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-10-27	Performance Restricted Stock Units	$	A	85000	Acquired		Common Stock (85000)	Direct

Footnotes

F1: Each performance restricted stock unit (PRSU) represents a contingent right to receive one share of Issuer common stock. The PRSUs will vest upon the Issuer achieving Adjusted Stock Price Hurdle of $135.00 (including reinvestment of dividends), but not before February 28, 2024, or upon a Change in Control (as defined in the 2021 Stock Incentive Plan), provided that such Adjusted Stock Price Hurdle is achieved, or Change in Control occurs within three (3) years of the grant date and the employee continues to be employed on the vesting date.