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