0001213900-24-020548.txt : 20240306 0001213900-24-020548.hdr.sgml : 20240306 20240306185658 ACCESSION NUMBER: 0001213900-24-020548 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240304 FILED AS OF DATE: 20240306 DATE AS OF CHANGE: 20240306 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ahn Phillip J. CENTRAL INDEX KEY: 0001574572 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37503 FILM NUMBER: 24727635 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] ORGANIZATION NAME: 02 Finance 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 X0508 4 2024-03-04 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 0 Common Stock 2023-06-30 4 A 0 543 39.083 A 279251 D Common Stock 2023-12-29 4 A 0 1 17.842 A 279252 D Common Stock 2024-03-04 4 A 0 41543 0 A 320795 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 award that settles in common stock of the Company and vests in three equal installments on March 15, 2025, March 15, 2026 and March 15, 2027. /s/ Phillip J. Ahn 2024-03-06