0001615774-18-004454.txt : 20180529 0001615774-18-004454.hdr.sgml : 20180529 20180529170146 ACCESSION NUMBER: 0001615774-18-004454 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180524 FILED AS OF DATE: 20180529 DATE AS OF CHANGE: 20180529 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: 18865343 MAIL ADDRESS: STREET 1: 21255 BURBANK BOULEVARD STREET 2: SUITE 400 CITY: WOODLAND HILLS STATE: CA ZIP: 91367 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 4 1 s110461_form4.xml OWNERSHIP DOCUMENT X0306 4 2018-05-24 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 2018-05-24 4 F 0 3364 20.85 D 39153 D Represents shares withheld by the Company and remitted on behalf of the Reporting Person for payment of taxes in connection with the vesting of shares from Restricted Stock Units granted on May 24, 2016 and June 13, 2017. /s/ Alan N. Forman 2018-05-29