0001615774-17-003200.txt : 20170615 0001615774-17-003200.hdr.sgml : 20170615 20170615170018 ACCESSION NUMBER: 0001615774-17-003200 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170613 FILED AS OF DATE: 20170615 DATE AS OF CHANGE: 20170615 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: 21255 BURBANK BLVD. STREET 2: SUITE 400 CITY: WOODLAND HILLS STATE: CA ZIP: 91367 BUSINESS PHONE: 818-884-3737 MAIL ADDRESS: STREET 1: 21255 BURBANK BLVD. STREET 2: SUITE 400 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: 17914062 MAIL ADDRESS: STREET 1: 21255 BURBANK BOULEVARD STREET 2: SUITE 400 CITY: WOODLAND HILLS STATE: CA ZIP: 91367 4 1 s106558_form4.xml OWNERSHIP DOCUMENT - ALAN N. FORMAN X0306 4 2017-06-13 0 0001464790 B. Riley Financial, Inc. RILY 0001490907 Forman Alan N 21255 BURBANK BOULEVARD SUITE 400 WOODLAND HILLS CA 91367 0 1 0 0 EVP, General Counsel, Sec Common Stock 2017-06-13 4 A 0 14516 0 A 42517 D Represents a restricted stock unit that settles in common stock of the Company and vests in three equal installments on May 24, 2018, May 24, 2019 and May 22, 2020. /s/ Alan N. Forman 2017-06-15