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: KELLEHER THOMAS J /ADV (Co-CEO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-05-28	Common Stock	A	42092	$0.00	Acquired	298548	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	20000	Indirect
Common Stock	459848	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 June 2, 2022, June 2, 2023 and June 2, 2024.

F2: Held by self-directed IRA: Thomas John Kelleher IRA.

F3: Held of record by Thomas J. Kelleher and wife as Trustees for the Kelleher Family Trust.

F4: Held with dispositive power for a daughter.

F5: Held with dispositive power for a daughter.

F6: Held with dispositive power for a daughter.

F7: Held with dispositive power for a daughter.