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