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