0001615774-18-005371.txt : 20180615 0001615774-18-005371.hdr.sgml : 20180615 20180615172554 ACCESSION NUMBER: 0001615774-18-005371 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180613 FILED AS OF DATE: 20180615 DATE AS OF CHANGE: 20180615 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: 18903123 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 s110860_form4.xml 4 X0306 4 2018-06-13 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 2018-06-13 4 A 0 13500 0 A 52653 D Represents a restricted stock unit that settles in common stock of the Company and vests in three equal installments on May 24, 2019, May 22, 2020 and May 24, 2021. /s/ Alan N. Forman 2018-06-15