SC 13D

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

SCHEDULE 13D

Under the Securities Exchange Act of 1934

(Amendment No. ___ )*

B. Riley Financial, Inc.

(Name of Issuer)

Common Stock, par value $0.0001 per share

(Title of Class of Securities)

05580M 108

(CUSIP Number)

Fred Goldman

c/o Equitec Group LLC

111 W. Jackson Blvd., Suite 2220

Chicago, Illinois 60604

(312) 692-5007

(Name, Address and Telephone Number of Person

Authorized to Receive Notices and Communications)

11/22/21

(Date of Event which Requires Filing of this Statement)

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), Rule 13d-1(f) or Rule 13d-1(g), check the following box ☐.

Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7 for other parties to whom copies are to be sent.

*The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

(Continued on following pages)

CUSIP No. 05580M 108 13D Page 2 of 12 Pages

1	NAMES OF REPORTING PERSONS
	DJ Fund Investments, LLC – Series E; Tax ID No. 46-3799992
2	CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) ☒ (b) ☐
3	SEC USE ONLY
4	SOURCE OF FUNDS (See Instructions) OO
5	CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ☐
6	CITIZENSHIP OR PLACE OF ORGANIZATION Illinois
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH		7	SOLE VOTING POWER 0 Shares
		8	SHARED VOTING POWER 825,000 Shares
		9	SOLE DISPOSITIVE POWER 0 Shares
		10	SHARED DISPOSITIVE POWER 825,000 Shares
11	AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 825,000 Shares
12	CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) ☐
13	PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 3.00%*
14	TYPE OF REPORTING PERSON (See Instructions) PN

* This percentage is based upon 27,596,533 outstanding shares of Common Stock reported in the Issuer’s Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on September 30, 2021.

CUSIP No. 05580M 108 13D Page 3 of 12 Pages

1	NAMES OF REPORTING PERSONS
	Daniel Asher
2	CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) ☒ (b) ☐
3	SEC USE ONLY
4	SOURCE OF FUNDS (See Instructions) OO, PF
5	CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ☐
6	CITIZENSHIP OR PLACE OF ORGANIZATION Illinois
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH		7	SOLE VOTING POWER 537,600 Shares
		8	SHARED VOTING POWER 1,600,000 Shares
		9	SOLE DISPOSITIVE POWER 537,680 Shares
		10	SHARED DISPOSITIVE POWER 1,600,000 Shares
11	AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,137,680 Shares
12	CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) ☐
13	PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 7.75%*
14	TYPE OF REPORTING PERSON (See Instructions) IN

* This percentage is based upon 27,596,553 outstanding shares of Common Stock reported in the Issuer’s Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on September 30, 2021.

CUSIP No. 05580M 108 13D Page 4 of 12 Pages

1	NAMES OF REPORTING PERSONS
	Fred Goldman
2	CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) ☒ (b) ☐
3	SEC USE ONLY
4	SOURCE OF FUNDS (See Instructions) OO
5	CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ☐
6	CITIZENSHIP OR PLACE OF ORGANIZATION Illinois
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH		7	SOLE VOTING POWER 0 Shares
		8	SHARED VOTING POWER 825,000 Shares
		9	SOLE DISPOSITIVE POWER 0 Shares
		10	SHARED DISPOSITIVE POWER 825,000 Shares
11	AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 825,000 Shares*
12	CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) ☐
13	PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 3.00%**
14	TYPE OF REPORTING PERSON (See Instructions) PN

* Mr. Goldman disclaims beneficial ownership of these Shares.

** This percentage is based upon 27,596,553 outstanding shares of Common Stock reported in the Issuer’s Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on September 30, 2021

CUSIP No. 05580M 108 13D Page 5 of 12 Pages

1	NAMES OF REPORTING PERSONS
	Michael LaRocque
2	CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) ☒ (b) ☐
3	SEC USE ONLY
4	SOURCE OF FUNDS (See Instructions) OO
5	CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ☐
6	CITIZENSHIP OR PLACE OF ORGANIZATION Illinois
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH		7	SOLE VOTING POWER 0 Shares
		8	SHARED VOTING POWER 825,000 Shares
		9	SOLE DISPOSITIVE POWER 0 Shares
		10	SHARED DISPOSITIVE POWER 825,000 Shares
11	AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 825,000 Shares*
12	CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) ☐
13	PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 3.00%**
14	TYPE OF REPORTING PERSON (See Instructions) PN

* Mr. LaRocque disclaims beneficial ownership of these Shares.

** This percentage is based upon 27,596,553 outstanding shares of Common Stock reported in the Issuer’s Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on September 30, 2021

CUSIP No. 05580M 108 13D Page 6 of 12 Pages

1	NAMES OF REPORTING PERSONS
	AFOB FIP RILY, LLC
2	CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) ☒ (b) ☐
3	SEC USE ONLY
4	SOURCE OF FUNDS (See Instructions) OO
5	CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ☐
6	CITIZENSHIP OR PLACE OF ORGANIZATION Delaware
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH		7	SOLE VOTING POWER 0 Shares
		8	SHARED VOTING POWER 775,000 Shares
		9	SOLE DISPOSITIVE POWER 0 Shares
		10	SHARED DISPOSITIVE POWER 775,000 Shares
11	AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 775,000 Shares*
12	CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) ☐
13	PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 2.81%**
14	TYPE OF REPORTING PERSON (See Instructions) PN

* Mr. LaRocque disclaims beneficial ownership of these Shares.

** This percentage is based upon 27,596,553 outstanding shares of Common Stock reported in the Issuer’s Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on September 30, 2021

Explanatory Note

This Schedule 13D is being filed jointly on behalf of DJ Fund Investments, LLC – Series E (“DJ Fund”), AFOB FIP RILY, LLC. Daniel Asher, a member, and holder of less than 50% of the membership interests in DJ Fund and a Managing Member of AFOB FIP RILY, LLC. Fred Goldman, a manager of DJ Fund, and Michael LaRocque, a manager of DJ Fund (collectively, the “Reporting Persons” and each individually a “Reporting Person”). On December 19, 2014, DJ Fund filed a Schedule 13D with the Securities and Exchange Commission (the “SEC”) reporting beneficial ownership of the same securities reported by DJ Fund in this joint Schedule 13D. Since the time of that filing, and as described in this jointly filed Schedule 13D, the Reporting Persons, have entered into an informal, unwritten agreement that provides Mr. Asher with investment and voting power over those securities. The Reporting Persons are therefore filing this joint Schedule 13D to report their ownership of the securities described in this Schedule 13D. The agreement between the Reporting Persons relating to the joint filing of this Schedule 13D (the “Joint Filing Agreement”) is attached as Exhibit 99.1 hereto.

Item 1. Security and Issuer.

This statement relates to the common stock, par value $0.0001 per share (the “Common Stock”), of B. Riley Financial, Inc. (formerly Great American Group, Inc.), a Delaware corporation (the “Issuer”), whose principal executive offices are located at 11100 Santa Monica Blvs. Suite 800 Los Angeles

Item 2. Identity and Background.

a. DJ Fund Investments, LLC – Series E.

Daniel Asher.

Fred Goldman is a manager of DJ Fund.

Michael LaRocque is a manager of DJ Fund.

AFOB FIP RILY, LLC – Daniel Asher is a Managing Member

b. The business address of DJ Fund is 111 W. Jackson Blvd., Suite 2220, Chicago, Illinois 60604.

Mr. Asher’s business address is c/o Equitec Group LLC, 111 W. Jackson Blvd., Suite 2220, Chicago, Illinois 60604.

Mr. Goldman’s business address is c/o Equitec Group LLC, 111 W. Jackson Blvd., Suite 2220, Chicago, Illinois 60604.

Mr. LaRocque’s business address is c/o Equitec Group LLC, 111 W. Jackson Blvd., Suite 2220, Chicago, Illinois 60604.

The business address of AFOB FIP RILY, LLC is c/o Equitec Group, LLC 111 W Jackson Blvd. Suite 2220 Chicago Illinois 60604

Page 7 of 12

c. The primary purpose of DJ Fund and AFOB FIP RILY, LLC is investing in capital.

Mr. Asher’s principal occupation is investor/trader.

Mr. Goldman’s principal occupation is Chief Financial Officer of Equitec Group, LLC.

Mr. LaRocque’s principal occupation is financial consultant.

d. During the last five years, none of the Reporting Persons has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors).

e. During the last five years, none of the Reporting Persons has been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction resulting in a judgment, decree or final order finding any violation with respect to federal or state securities laws or enjoining future violations of, or prohibiting or mandating activities subject to, such laws.

f. DJ Fund is an Illinois designated series of DJ Fund Investments, LLC, an Illinois limited liability company.

g. AFOB FIP RILY, LLC is an Delaware limited liability company .

Each of Mr. Asher, Mr. Goldman and Mr. LaRocque is a citizen of the United States of America.

Item 3. Source and Amount of Funds or Other Consideration.

DJ Fund previously reported beneficial ownership of 2,000,000 shares of Common Stock (the “DJ Fund Shares”), which were acquired, pursuant to a securities purchase agreement among the Issuer, DJ Fund and certain other investors, dated as of May 19, 2014 (the “Securities Purchase Agreement”), in a private placement that closed on June 5, 2014 (the “Private Placement”), at the price of $5.00 per share. The source of the purchase price for the DJ Fund Shares was capital contributions made by each member of DJ Fund. No borrowed funds were used in the purchase of the DJ Fund Shares. DJ Fund’s beneficial ownership of the DJ Fund Shares was initially reported on a Schedule 13D filed with the SEC on December 19, 2014. Since the time of that filing, DJ Fund’s percentage of beneficial ownership of shares of Common Stock has decreased. DJ Fund’s current beneficial ownership is 825,000 shares.

Mr. Asher is reporting beneficial ownership of 2,137,680 shares of Common Stock, including (i) the 825,000 DJ Fund Shares and 775,000 AFOB FIP RILY Shares over which Mr. Asher has shared investment power pursuant to an informal, unwritten agreement between the Reporting Persons (ii) 537,680 shares of Common Stock, were purchased through and are held in a brokerage account of Equitec Proprietary Market, LLC in Mr. Asher’s name. The source of the purchase price of the Brokerage Account Shares, as disclosed on Exhibit 99.2 Transactions of the Reporting Persons Effected Since The Last 13D Filing, was personal funds of Mr. Asher and funds generated and held by Mr. Asher’s brokerage account and no borrowed funds were used in the purchase of such shares.

Page 8 of 12

Item 4. Purpose of Transaction.

The purchases of shares of Common Stock by the Reporting Persons were for investment purposes. The Reporting Persons may purchase additional shares from time to time depending upon price, market conditions, availability of funds, evaluation of other investment opportunities, and other factors. Although the Reporting Persons have no present intention to sell any shares, they could determine from time to time, based upon the same factors listed above for purchases, to sell some or all of the shares held by it.

Except as set forth above, none of the Reporting Persons has any plan or proposal which relates to any of the following matters:

(a) The acquisition by any person of additional securities of the Issuer, or the disposition of securities of the Issuer;

(b) An extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries;

(c) A sale or transfer of a material amount of assets of the Issuer or of any of its subsidiaries;

(d) Any change in the present board of directors or management of the Issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board;

(e) Any material change in the present capitalization or dividend policy of the Issuer;

(f) Any other material change in the Issuer’s business or corporate structure;

(g) Changes in the Issuer’s charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the issuer by any person;

(h) Causing a class of securities of the Issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association;

(i) A class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Securities Exchange Act of 1934; or

(j) Any action similar to any of those enumerated above.

Page 9 of 12

Item 5. Interest in Securities of Issuer.

(a) DJ Fund’s total beneficial ownership amounts to 825,000 shares of Common Stock, constituting 3.00% of the outstanding shares of Common Stock of the Issuer. AFOB FIP RILY’s total beneficial ownership amounts to 775,000 shares of Common Stock.

(b) Mr. Asher’s total beneficial ownership amounts to 2,137,680 shares of Common Stock, constituting 7.75% of the outstanding shares of Common Stock of the Issuer.

By reason of his status as a manager of DJ Fund, Mr. Goldman may be deemed to beneficially own the 825,000 DJ Fund Shares, constituting 3.00% of the outstanding shares of Common Stock of the Issuer. Except to the extent of his pecuniary interest therein, Mr. Goldman disclaims beneficial ownership of the 825,00 DJ Fund Shares.

By reason of his status as a manager of DJ Fund, Mr. LaRocque may be deemed to beneficially own the 825,000 DJ Fund Shares, constituting 3.00% of the outstanding shares of Common Stock of the Issuer. Mr. LaRocque disclaims beneficial ownership of the 825,000 DJ Fund Shares.

(c) DJ Fund holds shared investment and voting power over the 825,000 DJ Fund Shares.

Mr. Asher holds sole investment and voting power over the 537,680 Brokerage Account Shares. Mr. Asher holds shared investment and voting power over the 825,000 DJ Fund Shares with DJ Fund, pursuant to an informal, unwritten agreement.

By reason of his status as a manager of DJ Fund, Mr. Goldman may be deemed to hold shared investment and voting power over the 825,000 DJ Fund Shares, constituting 3.00% of the outstanding shares of Common Stock of the Issuer. Mr. Goldman disclaims beneficial ownership of the 825,000 DJ Fund Shares.

By reason of his status as a manager of DJ Fund, Mr. LaRocque may be deemed to hold shared investment and voting power over the 825,000 DJ Fund Shares, constituting 3.00% of the outstanding shares of Common Stock of the Issuer. Mr. LaRocque disclaims beneficial ownership of the 825,000 DJ Fund Shares.

AFOB FIP RILY holds investment and voting power over 775,000 AFOB FIP RILY shares.

By reason of his status as Managing Member of AFOB FIP RILY Mr. Asher may be deemed to hold investment and voting power over the 775,000 AFOB FIP RILY shares constituting 2.81% of the outstanding shares of Common Stock of the Issuer.

Page 10 of 12

(d) Since the last 13D filing, none of the Reporting Persons has effected any transactions in the Common Stock of the Issuer except as otherwise disclosed on Exhibit 99.2 of this Schedule 13D.

(e) Other than the entities and persons named in sub-item (a) above, to the knowledge of the Reporting Persons, no other person has the right to receive or the power to direct the receipt of dividends from, or proceeds from the sale of, the shares of Common Stock beneficially owned by the Reporting Persons.

(e) Not applicable.

Item 6. Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer.

Reference is made to the Joint Filing Agreement dated November 22, 2021 which is attached as Exhibit 99.1 hereto. Reference is further made to the Securities Purchase Agreement, which is attached as Exhibit 99.3 hereto, and the Registration Rights Agreement, which is attached as Exhibit 99.4 hereto, each of which is described in the July 12^th Schedule 13D filed with the SEC on behalf of the Reporting Persons on July 12, 2016, and is incorporated by reference herein.

Reference is also made to the informal unwritten agreement between the Reporting Parties, described in the July 12^th Schedule 13D filed with the SEC on behalf of the Reporting Persons on July 12, 2016, that provides Mr. Asher with investment and voting power over the DJ Fund Shares.

Other than the agreements referenced above, there are no contracts, arrangements understandings or relationships (legal or otherwise) between the Reporting Persons and any person with respect to any securities of the Issuer.

Item 7. Materials to be Filed as Exhibits.

Exhibit No.	Description
99.1	Joint Filing Agreement (incorporated by reference to the November 22, 2021 Schedule 13D filed with the SEC on behalf of the Reporting Persons).
99.2	Transactions of the Reporting Persons Effected Since the Last 13D Filing.
99.3	Securities Purchase Agreement, dated May 19, 2014, by and among B. Riley Financial, Inc. (then, Great American Group, Inc.) and each purchaser identified on Annex A thereto (incorporated herein by reference to Exhibit 10.1 of Great American Group, Inc.’s Current Report on Form 8-K filed May 19, 2014) (File No. 000-54010)
99.4	Form of Registration Rights Agreement (incorporated herein by reference to Exhibit 10.2 of B. Riley Financial, Inc.’s (then, Great American Group, Inc.) Current Report on Form 8-K filed May 19, 2014) (File No. 000-54010)

Page 11 of 12

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

Dated: November 22, 2021
	/s/ Fred Goldman
	DJ Fund Investments, LLC – Series E
	By:	Fred Goldman
	Its:	Manager
	/s/ Daniel Asher
	Daniel Asher
	/s/ Fred Goldman
	Fred Goldman
	/s/ Michael LaRocque
	Michael LaRocque
	AFOB FIP RILY LLC
	/s/ Fred Goldman
	AFO Blackberry llc, Managing member
	By:	Fred Goldman
	Its:	Treasurer

Page 12 of 12

EX-99.1

Exhibit 99.1

Joint Filing Agreement

In accordance with Rule 13d-1(k) or the Securities Exchange Act of 1934, as amended, the undersigned acknowledge and agree that the foregoing Schedule 13D is filed on behalf of each of the undersigned and that all subsequent amendments thereto may be filed on behalf of each of the undersigned without the necessity of filing additional joint filing agreements.

The undersigned further acknowledge that each shall be responsible for the timely filing of such amendments and for the completeness and accuracy of the information concerning such person contained herein, but shall not be responsible for the completeness and accuracy of the information concerning the other signatory, except to the extent that such person knows or has reason to believe that such information is inaccurate.

Dated: November 22, 2021
	/s/ Fred Goldman
	DJ Fund Investments, LLC – Series E
	By:	Fred Goldman
	Its:	Manager
	/s/ Daniel Asher
	Daniel Asher
	/s/ Fred Goldman
	Fred Goldman
	/s/ Michael LaRocque
	Michael LaRocque
	AFOB FIP RILY LLC
	/s/ Fred Goldman
	AFO Blackberry llc, Managing member
	By:	Fred Goldman
	Its:	Treasurer

EX-99.2

Exhibit 99.2

Transactions of the Reporting Persons Effected Since The Last 13D Filing

The following transactions were effected by Mr. Asher:

Account	Trade Date		Quantity			Symbol		Price
ARN61209		12/2/2020		(5,100	)		RILY		35.2102
ARN61209		12/2/2020		2			RILY		35.3000
ARN61209		12/3/2020		14,003			RILY		34.7937
ARN61209		12/4/2020		6,200			RILY		34.5089
ARN61209		12/18/2020		(3,400	)		RILY		41.2426
ARN61209		12/21/2020		(2,200	)		RILY		41.1250
ARN61209		12/22/2020		(2,200	)		RILY		41.6250
ARN61209		12/23/2020		(4,300	)		RILY		41.8081
ARN61209		12/28/2020		(3,100	)		RILY		44.0000
ARN61209		1/5/2021		1,699			RILY		43.1917
ARN61209		1/6/2021		(4,200	)		RILY		44.9881
ARN61209		1/6/2021		700			RILY		43.0000
ARN61209		1/11/2021		1,400			RILY		44.9193
ARN61209		1/13/2021		(12,700	)		RILY		51.1575
ARN61209		1/13/2021		50,000			RILY		46.0000
ARN61209		1/15/2021		(6,100	)		RILY		45.0000
ARN61209		1/15/2021		3,300			RILY		50.0000
ARN61209		1/15/2021		6,400			RILY		48.2452
ARN61209		1/20/2021		30,221			RILY		47.5470
ANNV1209		1/20/2021		3,500			RILY		48.1157
ARN61209		1/22/2021		5,400			RILY		46.8028
ARN61209		1/26/2021		15,500			RILY		48.9629
ARN61209		1/28/2021		2			RILY		48.6000
ANNV1209		2/1/2021		(600	)		RILY		50.5567
ARN61209		2/1/2021		(1,900	)		RILY		50.6974
ARN61209		2/2/2021		(2,600	)		RILY		51.6610
ARN61209		2/4/2021		(1,800	)		RILY		52.0333
ARN61209		2/17/2021		400			RILY		52.7550
ARN61209		2/18/2021		1,200			RILY		51.7375
ARN61209		2/19/2021		(11,000	)		RILY		50.0000
ARN61209		2/19/2021		(37,600	)		RILY		55.0000
ARN61209		2/19/2021		(1,600	)		RILY		54.9900
ARN61209		2/25/2021		(300	)		RILY		63.5000
ARN61209		2/26/2021		(20,000	)		RILY		66.6615
ARN61209		3/1/2021		8,600			RILY		65.8900
ARN61209		3/1/2021		(3,400	)		RILY		67.0000
ANNV1209		3/1/2021		(8,600	)		RILY		65.8900
ARN61209		3/3/2021		(10,400	)		RILY		67.7308
ARN61209		3/4/2021		24,188			RILY		63.5775
ARN61209		3/5/2021		48,800			RILY		59.8541
ARN61209		3/8/2021		(32,827	)		RILY		59.7765
ARN61209		3/9/2021		(22,043	)		RILY		57.1646
ARN61209		3/10/2021		(16,800	)		RILY		58.5396
ARN61209		3/11/2021		(2,300	)		RILY		59.0000
ARN61209		3/11/2021		1,100			RILY		57.0100
ARN61209		3/15/2021		2,800			RILY		57.4607
ARN61209		3/16/2021		2,800			RILY		56.3818
ARN61209		3/18/2021		1,900			RILY		62.0000
ARN61209		3/19/2021		730			RILY		56.2436
ARN61209		3/19/2021		2,500			RILY		57.0000
ARN61209		3/19/2021		300			RILY		62.0000
ARN61209		3/19/2021		2,200			RILY		67.0000
ARN61209		3/24/2021		(400	)		RILY		54.7500
ARN61209		3/24/2021		25,974			RILY		54.4882
ARN61209		3/25/2021		12,500			RILY		52.3752
ARN61209		3/25/2021		(1,800	)		RILY		54.1878
ARN61209		3/29/2021		300			RILY		55.7167
ARN61209		3/29/2021		(8,700	)		RILY		55.9661
ARN61209		3/30/2021		(9,200	)		RILY		55.9810
ARN61209		3/31/2021		(6,600	)		RILY		57.0000
ARN61209		4/12/2021		(300	)		RILY		62.0000
ARN61209		4/13/2021		(225	)		RILY		69.4000
ARNT1209		4/13/2021		(21,505	)		RILY		69.8108
ARN61209		4/14/2021		(6,100	)		RILY		69.9000
ARNT1209		4/14/2021		(196,469	)		RILY		70.1288
ATRP1209		4/15/2021		(3,100	)		RILY		70.0000
ARN61209		4/15/2021		1			RILY		69.4000
ARNT1209		4/15/2021		(1,700	)		RILY		60.0000
ARN61209		4/16/2021		(800	)		RILY		65.0000
ARN61209		4/16/2021		(11,200	)		RILY		70.0000
ARN61209		4/16/2021		(100	)		RILY		67.0000
ARN61209		4/16/2021		(7,200	)		RILY		72.0000
ARNT1209		4/16/2021		(1,900	)		RILY		60.0000
ARNT1209		4/16/2021		(2,200	)		RILY		57.0000
ARNT1209		4/16/2021		(63,900	)		RILY		62.0000
ARNT1209		4/16/2021		(4,820	)		RILY		71.0030
ARNT1209		4/16/2021		(5,000	)		RILY		55.0000
ATRP1209		4/16/2021		(13,300	)		RILY		70.0000
ATRP1209		4/16/2021		(600	)		RILY		72.0000
ATRP1209		4/16/2021		(20,600	)		RILY		70.2447
ATRP1209		4/16/2021		(38,180	)		RILY		71.0030
ARN61209		4/19/2021		(4,200	)		RILY		72.4593
ARN61209		4/20/F292021		(6,200	)		RILY		72.9734
ARN61209		4/20/2021		5,800			RILY		69.6053
ARN61209		4/21/2021		3,000			RILY		67.4933
ARN61209		4/23/2021		(15,408	)		RILY		71.2469
ARN61209		4/30/2021		3,005			RILY		68.9967
ARN61209		5/3/2021		(4,062	)		RILY		72.1049
ARN61209		5/4/2021		4,500			RILY		66.6933
ARN61209		5/5/2021		(1,800	)		RILY		73.0000
ARN61209		5/6/2021		7,600			RILY		67.6776
ARNT1209		5/7/2021		(3,100	)		RILY		75.0000
ARN61209		5/10/2021		(132	)		RILY		77.3470
ARNT1209		5/10/2021		(16,126	)		RILY		77.3470
ARN61209		5/11/2021		3,900			RILY		73.3103
ARN61209		5/13/2021		(3,600	)		RILY		74.9583
ARN61209		5/13/2021		(7,100	)		RILY		70.0000
ARN61209		5/14/2021		1,900			RILY		72.2895
ARN61209		5/19/2021		900			RILY		68.0000
ARN61209		5/21/2021		(2,800	)		RILY		67.5000
ARN61209		5/21/2021		(1,600	)		RILY		72.5000
ARN61209		5/21/2021		14,300			RILY		72.5000
ARN61209		6/2/2021		20			RILY		70.3500
ARN61209		6/3/2021		600			RILY		69.6950
ARN61209		6/4/2021		22,900			RILY		68.5109
ARN61209		6/14/2021		(1,200	)		RILY		68.4375
ARN61209		6/15/2021		(1,600	)		RILY		69.5000
ARN61209		6/15/2021		300			RILY		65.9000
ARN61209		6/16/2021		(3,300	)		RILY		70.0000
ARN61209		6/16/2021		60			RILY		70.0000
ARN61209		6/17/2021		10,800			RILY		67.2035
ARN61209		6/18/2021		5,300			RILY		70.0000
ARN61209		6/18/2021		(4,400	)		RILY		67.5000
ARN61209		6/18/2021		(3,040	)		RILY		68.1156
ARN61209		6/18/2021		24,147			RILY		66.7937
ARN61209		6/24/2021		(5,600	)		RILY		73.6696
ARN61209		6/25/2021		(40,700	)		RILY		75.4990
ARN61209		6/28/2021		100			RILY		72.5500
ARN61209		7/7/2021		1,735			RILY		74.5346
ARN61209		7/8/2021		52,547			RILY		71.9600
ARN61209		7/9/2021		(144	)		RILY		73.0000
ARN61209		7/15/2021		5,100			RILY		69.0000
ARN61209		7/16/2021		44,600			RILY		67.5000
ARN61209		7/16/2021		2,200			RILY		72.5000
ARN61209		7/16/2021		18,800			RILY		66.9324
ARN61209		7/19/2021		15,700			RILY		64.8166
ARN61209		7/20/2021		(7,500	)		RILY		68.4513
ARN61209		7/21/2021		(5,900	)		RILY		68.9068
ARN61209		7/22/2021		1,559			RILY		68.8031
ARN61209		7/26/2021		(1,300	)		RILY		68.5000
ARN61209		8/3/2021		(600	)		RILY		65.5000
ARN61209		8/3/2021		16,700			RILY		62.4293
ARN61209		8/9/2021		(4,100	)		RILY		70.0000
ARN61209		8/11/2021		(1,100	)		RILY		65.0000
ARN61209		8/12/2021		(2,200	)		RILY		67.4318
ARN61209		8/13/2021		1,200			RILY		64.4500
ARN61209		8/16/2021		140			RILY		63.8671
ARN61209		8/17/2021		7,000			RILY		63.8400
ARN61209		8/19/2021		17,000			RILY		60.3059
ARN61209		8/20/2021		(4,400	)		RILY		60.0000
ARN61209		8/20/2021		6,600			RILY		65.0000
ARN61209		9/3/2021		8,200			RILY		63.0307
ARN61209		9/7/2021		(600	)		RILY		67.1000
ARN61209		9/8/2021		(7,389	)		RILY		63.0642
ARN61209		9/8/2021		9,700			RILY		63.4653
ARN61209		9/9/2021		3,000			RILY		62.7400
ARN61209		9/10/2021		45,400			RILY		60.4180
ARN61209		9/13/2021		18,000			RILY		59.9700
ARN61209		9/14/2021		8,100			RILY		60.0000
ARN61209		9/15/2021		(300	)		RILY		61.0000
ARN61209		9/17/2021		400			RILY		60.0000
ARN61209		9/20/2021		5,400			RILY		58.0056
ARN61209		9/21/2021		6,100			RILY		56.0000
ARN61209		9/27/2021		(5,200	)		RILY		60.6481
ARN61209		10/15/2021		(4,400	)		RILY		57.5000
ARN61209		10/15/2021		(2,200	)		RILY		59.5000
ARN61209		11/2/2021		(22,813	)		RILY		75.0449
ARN61209		11/3/2021		(49,700	)		RILY		77.0312
ARN61209		11/4/2021		(22,300	)		RILY		79.6480
ARN61209		11/5/2021		(2,900	)		RILY		70.0000
ARN61209		11/5/2021		(9,700	)		RILY		75.0000
ARN61209		11/5/2021		(30,885	)		RILY		80.7602
ARN61209		11/5/2021		9,800			RILY		80.6497
ARN61209		11/8/2021		(458	)		RILY		78.0000
ARN61209		11/10/2021		300			RILY		73.1800
ARN61209		11/12/2021		(7,600	)		RILY		78.0000
ARN61209		11/16/2021		(8,967	)		RILY		80.0000
ARN61209		11/17/2021		(20,000	)		RILY		77.3500
ARN61209		11/17/2021		20,000			RILY		77.4562
ARN61209		11/18/2021		300			RILY		78.0000
ARN61209		11/19/2021		300			RILY		79.0000
ARN61209		11/19/2021		(4,600	)		RILY		72.0000
ARN61209		11/19/2021		(13,300	)		RILY		77.0000
ARN61209		11/19/2021		1,100			RILY		80.0000

All of the above transactions were effected on the open market and were purchased through a brokerage account of Equitec Proprietary Market, LLC in Mr. Asher’s name.