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B. Riley Financial, Inc. — Director's Dealing 2021
May 26, 2021
33748_dirs_2021-05-26_69d57865-3e1f-411f-92b5-a77550a43f43.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: 2021-05-24
Reporting Person: KELLEHER THOMAS J /ADV (Co-CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-05-24 | Common Stock | F | 17348 | $73.78 | Disposed | 256456 | 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 shares withheld by the Company and remitted on behalf of the Reporting Person for payment of taxes in connection with the vesting of shares from Restricted Stock Units granted on June 13, 2018, May 24, 2019 and May 21, 2020.
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.