0001213900-19-012907.txt : 20190716
0001213900-19-012907.hdr.sgml : 20190716
20190716180830
ACCESSION NUMBER: 0001213900-19-012907
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190712
FILED AS OF DATE: 20190716
DATE AS OF CHANGE: 20190716
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Forman Alan N
CENTRAL INDEX KEY: 0001490907
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37503
FILM NUMBER: 19957903
MAIL ADDRESS:
STREET 1: 21255 BURBANK BOULEVARD
STREET 2: 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: 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
4
1
ownership.xml
X0306
4
2019-07-12
0
0001464790
B. Riley Financial, Inc.
RILY
0001490907
Forman Alan N
C/O B. RILEY FINANCIAL, INC.
21255 BURBANK BLVD, SUITE 400
WOODLAND HILLS
CA
91367
0
1
0
0
EVP, General Counsel, Sec
Performance Restricted Stock Units
2019-07-12
4
A
0
50000
0
A
Common Stock
50000
50000
D
Each performance restricted stock unit (PRSU) represents a contingent right to receive one share of Issuer common stock. The PRSUs will vest upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) or upon a Change in Control (as defined in the 2009 Stock Incentive Plan), provided that such TSR is achieved or Change in Control occurs within three (3) years of the grant date.
/s/ Alan N. Forman
2019-07-16