0001615774-15-000973.txt : 20150512 0001615774-15-000973.hdr.sgml : 20150512 20150512162929 ACCESSION NUMBER: 0001615774-15-000973 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150512 FILED AS OF DATE: 20150512 DATE AS OF CHANGE: 20150512 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: B. Riley Financial, Inc. CENTRAL INDEX KEY: 0001464790 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389] IRS NUMBER: 270223495 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 21860 BURBANK BLVD. STREET 2: SUITE 300 SOUTH CITY: WOODLAND HILLS STATE: CA ZIP: 91367 BUSINESS PHONE: 818-884-3737 MAIL ADDRESS: STREET 1: 21860 BURBANK BLVD. STREET 2: SUITE 300 SOUTH CITY: WOODLAND HILLS STATE: CA ZIP: 91367 FORMER COMPANY: FORMER CONFORMED NAME: Great American Group, Inc. DATE OF NAME CHANGE: 20090522 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: 000-54010 FILM NUMBER: 15854799 MAIL ADDRESS: STREET 1: 201 BARNARD ROAD CITY: NEW ROCHELLE STATE: NY ZIP: 10801 4 1 s101087_form4.xml 4 X0306 4 2015-05-12 0 0001464790 B. Riley Financial, Inc. RILY 0001490907 Forman Alan N C/O B. RILEY FINANCIAL, INC. 21860 BURBANK BLVD., SUITE 300 SOUTH WOODLAND HILLS CA 91367 0 1 0 0 EVP, General Counsel, Sec. Common Stock 2015-05-12 4 A 0 14086 0 A 14086 D Common Stock 2015-05-12 4 A 0 200 0 A 14286 D Common Stock 2015-05-12 4 F 0 85 10.50 D 14201 D Represents a restricted stock unit that settles in common stock of the Company and vests in three equal installments on December 10, 2015, December 10, 2016 and December 10, 2017. Represents an unrestricted stock award of the common stock of the Company which is fully vested as of the Grant Date. Represents shares withheld by the Company and remitted on behalf of the Reporting Person for payment of taxes in connection with the unrestricted stock award referenced above. /s/ Alan N. Forman 2015-05-12