0001251859-22-000005.txt : 20220524 0001251859-22-000005.hdr.sgml : 20220524 20220524162317 ACCESSION NUMBER: 0001251859-22-000005 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220520 FILED AS OF DATE: 20220524 DATE AS OF CHANGE: 20220524 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ASHER DANIEL CENTRAL INDEX KEY: 0001251859 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37503 FILM NUMBER: 22957116 MAIL ADDRESS: STREET 1: 111 W JACKSON BLVD STREET 2: 20TH FL CITY: CHICAGO STATE: IL ZIP: 60604 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 primary_doc.xml PRIMARY DOCUMENT X0306 4 2022-05-20 0 0001464790 B. Riley Financial, Inc. RILY 0001251859 ASHER DANIEL 111 W JACKSON BLVD 20TH FL CHICAGO IL 60604 0 0 1 0 Common Stock 2022-05-20 4 P 0 18800 50.0893 A 1370793 I thru Equitec Proprietary Markers, LLC Common Stock 2022-05-20 4 S 0 1100 50 D 1369693 I thru Sphinx Trading, LP Common Stock 2022-05-20 4 S 0 122700 50 D 1246993 I thru Equitec Proprietary Markers, LLC Common Stock 2022-05-20 4 S 0 1700 50 D 1245293 I thru Equitec Proprietary Markers, LLC Common Stock 2022-05-23 4 P 0 16100 49.5957 A 1261393 I thru Equitec Proprietary Markers, LLC Common Stock 2022-05-23 4 P 0 1100 49.6 A 1262493 I thru Sphinx Trading, LP Common Stock 73800 I Thru AFOB FIP RILY, LLC Common Stock 825000 I thru DJ Fund Investments, LLC - Series E The reporting person controls 50% of the membership interest in Equitec Proprietary Markets, LLC AFO Blackberry, LLC is the Managing member of AFOB FIP RILY, LLC and Daniel Asher is deemed to control AFO Blackberry, LLC Daniel Asher Holds shared investment and voting power over the 825,000 DJ Fund shares with DJ Fund, pursuant to an informal, unwritten agreement. Daniel Asher 2022-05-24