0001615774-18-006276.txt : 20180706 0001615774-18-006276.hdr.sgml : 20180706 20180706163035 ACCESSION NUMBER: 0001615774-18-006276 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180703 FILED AS OF DATE: 20180706 DATE AS OF CHANGE: 20180706 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: 18942792 MAIL ADDRESS: STREET 1: CLO B. RILEY FINANCIAL, INC., STREET 2: 21255 BURBANK BLVD., SUITE 400 CITY: WOODLAND 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 s111271_form4.xml 4 X0306 4 2018-07-03 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 2018-07-03 4 F 0 3981 22.70 D 241213 D Common Stock 9707 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 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 July 12, 2017. 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 2018-07-06