0001615774-16-005648.txt : 20160526 0001615774-16-005648.hdr.sgml : 20160526 20160526162438 ACCESSION NUMBER: 0001615774-16-005648 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160524 FILED AS OF DATE: 20160526 DATE AS OF CHANGE: 20160526 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: 001-37503 FILM NUMBER: 161678464 MAIL ADDRESS: STREET 1: 201 BARNARD ROAD CITY: NEW ROCHELLE STATE: NY ZIP: 10801 4 1 s103349_form4.xml OWNERSHIP DOCUMENT X0306 4 2016-05-24 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 2016-05-24 4 A 0 15190 0 A 32391 D Represents a restricted stock unit that settles in common stock of the Company and vests in three equal installments on May 24, 2017, May 24, 2018, and May 24, 2019. /s/ Alan N. Forman 2016-05-26