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

Jun 2, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: B. Riley Financial, Inc. (RILY)
CIK: 0001464790
Period of Report: 2021-05-28

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
2021-05-28	Common Stock	A	42092	$0.00	Acquired	5024269	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	317915	Indirect
Common Stock	84369	Indirect
Common Stock	6417	Indirect
Common Stock	6417	Indirect
Common Stock	6417	Indirect
Common Stock	6417	Indirect
Common Stock	200000	Indirect

Footnotes

F1: Represents a restricted stock unit that settles in common stock of the Company and vests in three equal installments on June 2, 2022, June 2, 2023 and June 2, 2024.

F2: Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife.

F3: 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.

F4: 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."

F5: 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.

F6: 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.

F7: 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.

F8: 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.

F9: 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.

F10: 06/02/2021