0001615774-17-003527.txt : 20170706
0001615774-17-003527.hdr.sgml : 20170706
20170706201008
ACCESSION NUMBER: 0001615774-17-003527
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170703
FILED AS OF DATE: 20170706
DATE AS OF CHANGE: 20170706
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: B. Riley Financial, Inc.
CENTRAL INDEX KEY: 0001464790
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389]
IRS NUMBER: 270223495
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 21255 BURBANK BLVD.
STREET 2: SUITE 400
CITY: WOODLAND HILLS
STATE: CA
ZIP: 91367
BUSINESS PHONE: 818-884-3737
MAIL ADDRESS:
STREET 1: 21255 BURBANK BLVD.
STREET 2: SUITE 400
CITY: WOODLAND HILLS
STATE: CA
ZIP: 91367
FORMER COMPANY:
FORMER CONFORMED NAME: Great American Group, Inc.
DATE OF NAME CHANGE: 20090522
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: HENDRIX RICHARD J
CENTRAL INDEX KEY: 0001218306
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37503
FILM NUMBER: 17953676
MAIL ADDRESS:
STREET 1: 1300 NORTH 17TH STREET
CITY: ARLINGTON
STATE: VA
ZIP: 22209
4
1
s106766_form4.xml
4
X0306
4
2017-07-03
0
0001464790
B. Riley Financial, Inc.
RILY
0001218306
HENDRIX RICHARD J
C/O B. RILEY FINANCIAL, INC.,
21255 BURBANK BLVD, SUITE 400
WOODLAND HILLS
CA
91367
1
0
0
0
Common Stock
2017-07-03
4
A
0
3058
0
A
251654
D
Common Stock
2017-07-03
4
F
0
14792
18.35
D
236862
D
Represents non-discretionary formulaic awards of RSUs which are granted on July 3, 2017 to the Reporting Person, and vest on July 3, 2017 pursuant to the Reporting Person's separation agreement. Of these shares, 670 are issued under the 2016 Retention and Incentive Plan, 1,194 are issued under the 2017 One Year Retention and Incentive Plan and 1,194 are issued under the 2017 Two Year Retention and Incentive Plan.
Represents shares of common stock of B. Riley withheld by the Company and remitted on behalf of the Reporting Person for payment of income taxes incurred for compensation received by the Reporting Person in connection with the issuance of shares of common stock of B. Riley resulting from separation of service as of July 3rd, 2017.
/s/ Richard J. Hendrix
2017-07-06