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