0001213900-20-026727.txt : 20200915 0001213900-20-026727.hdr.sgml : 20200915 20200915161828 ACCESSION NUMBER: 0001213900-20-026727 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200914 FILED AS OF DATE: 20200915 DATE AS OF CHANGE: 20200915 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sims Todd D. CENTRAL INDEX KEY: 0001685242 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37503 FILM NUMBER: 201176199 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: SERVICES-BUSINESS SERVICES, NEC [7389] 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 OWNERSHIP DOCUMENT X0306 4 2020-09-14 1 0001464790 B. Riley Financial, Inc. RILY 0001685242 Sims Todd D. C/O B. RILEY FINANCIAL, INC. 11100 SANTA MONICA BLVD., SUITE 800 LOS ANGELES CA 90025 1 0 0 0 Common Stock 2020-09-14 4 D 0 2554 0 D 15163 D Pursuant to Mr. Sims resignation from the Company's Board of Directors, effective September 14, 2020, certain Restricted Stock Units granted on June 18, 2020 as part of director compensation for the 2020-2021 term, were forfeited in accordance with their terms and on a pro-rated basis. Shares are held of record by Todd Sims individually or as joint tenants with Elsie Sims. /s/ Todd D. Sims 2020-09-15