0001615774-17-003618.txt : 20170713
0001615774-17-003618.hdr.sgml : 20170713
20170713191542
ACCESSION NUMBER: 0001615774-17-003618
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170712
FILED AS OF DATE: 20170713
DATE AS OF CHANGE: 20170713
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: Wunderlich Gary Kent JR
CENTRAL INDEX KEY: 0001709974
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37503
FILM NUMBER: 17964310
MAIL ADDRESS:
STREET 1: CLO B. RILEY FINANCIAL, INC.,
STREET 2: 21255 BURBANK BLVD., SUITE 400
CITY: WOODLAND
STATE: CA
ZIP: 91367
4
1
s106810_form4.xml
4
X0306
4
2017-07-12
0
0001464790
B. Riley Financial, Inc.
RILY
0001709974
Wunderlich Gary Kent JR
C/O B. RILEY FINANCIAL, INC.,
21255 BURBANK BLVD., SUITE 400
WOODLAND HILLS
CA
91367
1
0
0
0
Common Stock
2017-07-12
4
A
0
81744
0
A
245194
D
Common Stock
9709
I
By Wunderlich Children's Trust
Common Stock
3086
I
By Alvin Wunderlich, Jr. Grandchildren's Trust
Common Stock
1320
I
By Gary Wunderlich Jr. IRA - WFCS as Custodian Trust
Common Stock
787
I
By Madison Wunderlich Trust
Common Stock
787
I
By Gary Wunderlich III Trust
Represents a restricted stock unit that settles in common stock of the Company and vests in five equal installments on or about each July 3rd of 2018 through 2022.
Mr. Wunderlich benefits from the Wunderlich Children's Trust. As such, Mr. Wunderlich may be deemed to have beneficial ownership of the securities owned by this entity.
Mr. Wunderlich benefits from the Alvin Wunderlich, Jr. Grandchildren's Trust. As such, Mr. Wunderlich may be deemed to have beneficial ownership of the securities owned by this entity.
Mr. Wunderlich benefits from the shares held in his IRA account. As such, Mr. Wunderlich may be deemed to have beneficial ownership of the securities in his IRA account.
Mr. Wunderlich is the trustee of the Madison Wunderlich Trust. As such, Mr. Wunderlich may be deemed to have beneficial ownership of the securities owned by this entity.
Mr. Wunderlich is the trustee of the Gary Wunderlich III Trust. As such, Mr. Wunderlich may be deemed to have beneficial ownership of the securities owned by this entity.
/s/ Gary K. Wunderlich
2017-07-13