0001213900-20-043131.txt : 20201216 0001213900-20-043131.hdr.sgml : 20201216 20201216203029 ACCESSION NUMBER: 0001213900-20-043131 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201215 FILED AS OF DATE: 20201216 DATE AS OF CHANGE: 20201216 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: 201393973 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: 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 2020-12-15 0 0001464790 B. Riley Financial, Inc. RILY 0001490907 Forman Alan N C/O B. RILEY FINANCIAL, INC. 11100 SANTA MONICA BLVD., SUITE 800 LOS ANGELES CA 90025 0 1 0 0 EVP, General Counsel, Sec Common Stock 2020-12-15 4 F 0 22769 36.78 D 99988 D Represents shares withheld for payment of taxes in connection with the vesting of shares from Performance Restricted Stock Units granted on July 12, 2019. /s/ Alan N. Forman 2020-12-16