0001213900-21-010673.txt : 20210219
0001213900-21-010673.hdr.sgml : 20210219
20210219192246
ACCESSION NUMBER: 0001213900-21-010673
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210217
FILED AS OF DATE: 20210219
DATE AS OF CHANGE: 20210219
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: 21657813
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
OWNERSHIP DOCUMENT
X0306
4
2021-02-17
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
Performance Restricted Stock Units
2021-02-17
4
A
0
75000
0
A
Common Stock
75000
75000
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 Adjusted Stock Price Hurdle of $76.90 (including reinvestment of dividends) or upon a Change in Control (as defined in the 2009 Stock Incentive Plan), provided that such Adjusted Stock Price Hurdle is achieved or Change in Control occurs within three (3) years of the grant date.
/s/ Phillip J. Ahn
2021-02-19