0001213900-20-041441.txt : 20201207
0001213900-20-041441.hdr.sgml : 20201207
20201207211951
ACCESSION NUMBER: 0001213900-20-041441
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20201203
FILED AS OF DATE: 20201207
DATE AS OF CHANGE: 20201207
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Ahn Phillip J.
CENTRAL INDEX KEY: 0001574572
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37503
FILM NUMBER: 201374221
MAIL ADDRESS:
STREET 1: 21255 BURBANK BOULEVARD
STREET 2: SUITE 400
CITY: WOODLAND HILLS
STATE: CA
ZIP: 91367
FORMER NAME:
FORMER CONFORMED NAME: Ahn Phillip
DATE OF NAME CHANGE: 20130416
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
X0306
4
2020-12-03
0
0001464790
B. Riley Financial, Inc.
RILY
0001574572
Ahn Phillip J.
C/O B. RILEY FINANCIAL, INC.
11100 SANTA MONICA BLVD., SUITE 800
LOS ANGELES
CA
90025
0
1
0
0
CFO & Chief Operating Officer
Common Stock
2020-06-30
5
A
0
E
992
18.496
A
117099
D
Common Stock
2020-12-03
4
M
0
100000
A
217099
D
Performance Restricted Stock Units
2020-12-03
4
M
0
100000
0
A
Common Stock
0
0
D
Represents shares acquired under the provisions of the B. Riley Financial, Inc. 2018 Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c).
Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer.
/s/ Phillip J. Ahn
2020-12-07