0001213900-22-029794.txt : 20220526 0001213900-22-029794.hdr.sgml : 20220526 20220526170027 ACCESSION NUMBER: 0001213900-22-029794 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220524 FILED AS OF DATE: 20220526 DATE AS OF CHANGE: 20220526 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: 22971079 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: INVESTMENT ADVICE [6282] 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 2022-05-24 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 2021-06-30 4 A 0 331 64.175 A 185793 D Common Stock 2022-05-24 4 A 0 22048 0.00 A 207841 D Common Stock 2022-05-24 4 F 0 5332 49.56 D 202509 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). Represents a restricted stock unit that settles in common stock of the Company and vests in three equal installments on June 2, 2023, June 2, 2024 and June 2, 2025. Represents shares withheld by the Company and remitted on behalf of the Reporting Person for payment of taxes in connection with the vesting of shares from Restricted Stock Units granted on May 24, 2019 and May 21, 2020. /s/ Phillip J. Ahn 2022-05-26