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

Jun 8, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: B. Riley Financial, Inc. (RILY)
CIK: 0001464790
Period of Report: 2021-06-04

Reporting Person: RILEY BRYANT R (Director, Chairman and Co-CEO, 10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-06-04	Common Stock	P	5000	$67.3155	Acquired	11417	Indirect
2021-06-07	Common Stock	P	3329	$66.3093	Acquired	14746	Indirect
2021-06-04	Common Stock	P	5000	$67.3155	Acquired	11417	Indirect
2021-06-07	Common Stock	P	3329	$66.3093	Acquired	14746	Indirect
2021-06-04	Common Stock	P	5000	$67.3155	Acquired	11417	Indirect
2021-06-07	Common Stock	P	3329	$66.3093	Acquired	14746	Indirect
2021-06-04	Common Stock	P	5000	$67.3155	Acquired	11417	Indirect
2021-06-07	Common Stock	P	3329	$66.3093	Acquired	14746	Indirect

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	5024269	Direct
Common Stock	317915	Indirect
Common Stock	92836	Indirect
Common Stock	200000	Indirect

Footnotes

F1: This transaction was executed in multiple trades at prices ranging from $67.13 to $67.50. 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.

F2: This transaction was executed in multiple trades at prices ranging from $65.745 to $67.685. 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.

F3: The shares are held for S.R., the child of the Reporting Person, through a custodial account established pursuant to the Uniform Transfer to Minors Act ("UTMA") for which the Reporting Person serves as custodian.

F4: The shares are held for C.R., the child of the Reporting Person, through a custodial account established pursuant to the UTMA for which the Reporting Person serves as custodian.

F5: The shares are held for A.R., the child of the Reporting Person, through a custodial account established pursuant to the UTMA for which the Reporting Person serves as custodian.

F6: The shares are held for E.R., the child of the Reporting Person, through a custodial account established pursuant to the UTMA for which the Reporting Person serves as custodian.

F7: Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife.

F8: Represents shares held directly by BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"). The Reporting Person holds investment authority and pecuniary interest in BRPLP, and as such, may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRPLP.

F9: B. Riley Financial, Inc. 401(k) Profit Sharing Plan FBO Bryant Riley was formerly known as "B. Riley & Co., LLC 401(k) Profit Sharing Plan FBO Bryant Riley."

F10: The Reporting Person disclaims beneficial ownership of these shares, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose.

F11: Held of record by the Robert Antin Children Irrevocable Trust Dtd 1/1/01 (the "Trust"). The Reporting Person, as Trustee of the Trust, may be deemed to beneficially own the shares held by the Trust.