0001213900-23-010291.txt : 20230210
0001213900-23-010291.hdr.sgml : 20230210
20230210160843
ACCESSION NUMBER: 0001213900-23-010291
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230208
FILED AS OF DATE: 20230210
DATE AS OF CHANGE: 20230210
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: RILEY BRYANT R
CENTRAL INDEX KEY: 0001207269
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37503
FILM NUMBER: 23611868
MAIL ADDRESS:
STREET 1: C/O B. RILEY FINANCIAL, INC.
STREET 2: 21255 BURBANK BLVD, SUITE 400
CITY: WOODLAND HILLS
STATE: CA
ZIP: 91367
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: B. Riley Financial, Inc.
CENTRAL INDEX KEY: 0001464790
STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282]
IRS NUMBER: 270223495
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 11100 SANTA MONICA BLVD
STREET 2: SUITE 800
CITY: LOS ANGELES
STATE: CA
ZIP: 90025
BUSINESS PHONE: 818-884-3737
MAIL ADDRESS:
STREET 1: 11100 SANTA MONICA BLVD
STREET 2: SUITE 800
CITY: LOS ANGELES
STATE: CA
ZIP: 90025
FORMER COMPANY:
FORMER CONFORMED NAME: Great American Group, Inc.
DATE OF NAME CHANGE: 20090522
4
1
ownership.xml
X0306
4
2023-02-08
0
0001464790
B. Riley Financial, Inc.
RILY
0001207269
RILEY BRYANT R
C/O B. RILEY FINANCIAL, INC.
11100 SANTA MONICA BLVD., SUITE 800
LOS ANGELES
CA
90025
1
1
1
0
Chairman and Co-CEO
Common Stock
2023-02-08
4
M
0
150000
A
6525943
D
Common Stock
16538
I
UTMA account of S.R.
Common Stock
16538
I
UTMA account of C.R.
Common Stock
16538
I
UTMA account of A.R.
Common Stock
16537
I
UTMA account of E.R.
Common Stock
108250
I
By B. Riley Financial, Inc. 401(k) Profit Sharing Plan FBO Bryant Riley
Common Stock
200000
I
By the Robert Antin Children Irrevocable Trust
Performance Restricted Stock Units
2023-02-08
4
M
0
150000
0
D
Common Stock
150000
0
D
Each performance restricted stock unit represented the right to receive a share of Common Stock following the Issuer achieving a certain Total Shareholder Return within three (3) years of the grant date.
Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife.
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.
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.
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.
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.
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."
The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, 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.
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.
/s/ Bryant R. Riley
2023-02-10