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B. Riley Financial, Inc. — Director's Dealing 2021
Aug 17, 2021
33748_dirs_2021-08-17_249165bd-5cab-44bd-a47b-baa04f028002.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: 2021-08-17
Reporting Person: Moore Andrew (CEO B. Riley Securities, Inc.)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-06-30 | Common Stock | A | 331 | $64.175 | Acquired | 229427 | Direct |
| 2021-08-17 | Common Stock | P | 5000 | $63.70 | Acquired | 229758 | 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: These transactions were executed in multiple trades at prices ranging from $63.30 to $63.80. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.