0001213900-23-010288.txt : 20230210 0001213900-23-010288.hdr.sgml : 20230210 20230210160618 ACCESSION NUMBER: 0001213900-23-010288 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230208 FILED AS OF DATE: 20230210 DATE AS OF CHANGE: 20230210 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: 23611820 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: 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 2023-02-08 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 2023-02-08 4 M 0 30000 A 126939 D Performance Restricted Stock D Units 2023-02-08 4 M 0 30000 0 D Common Stock 30000 0 D Each performance restricted stock unit represented the right to receive a share of Common Stock following the Issuer achieving a certain Total Shareholder Return within three (3) years of the grant date. /s/ Alan N. Forman 2023-02-10