0001213900-19-012909.txt : 20190716 0001213900-19-012909.hdr.sgml : 20190716 20190716180922 ACCESSION NUMBER: 0001213900-19-012909 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190712 FILED AS OF DATE: 20190716 DATE AS OF CHANGE: 20190716 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KELLEHER THOMAS J /ADV CENTRAL INDEX KEY: 0000216309 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37503 FILM NUMBER: 19957908 BUSINESS ADDRESS: STREET 1: 103 PARK TERRACE CITY: WESTMONT STATE: NJ ZIP: 08108 BUSINESS PHONE: 6098580453 MAIL ADDRESS: STREET 1: C/O B. RILEY FINANCIAL, INC. STREET 2: 21255 BURBANK BLVD, SUITE 400 CITY: WOODLAND HILLS STATE: CA ZIP: 91367 FORMER NAME: FORMER CONFORMED NAME: KELLEHER THOMAS J /ADV DATE OF NAME CHANGE: 20000101 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 ownership.xml X0306 4 2019-07-12 0 0001464790 B. Riley Financial, Inc. RILY 0000216309 KELLEHER THOMAS J /ADV C/O B. RILEY FINANCIAL, INC. 21255 BURBANK BLVD, SUITE 400 WOODLAND HILLS CA 91367 1 1 0 0 Co-CEO Common Stock 2019-06-28 5 A 0 E 1198 17.731 A 138621 D Common Stock 10100 I See note Common Stock 456248 I See note Common Stock 600 I By wife Common Stock 600 I By daughter Common Stock 600 I By daughter Common Stock 600 I By daughter Performance Restricted Stock Units 2019-07-12 4 A 0 200000 0 A Common Stock 200000 200000 D Represents shares acquired under the provisions of the B. Riley Financial, Inc. 2018 Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c). The shares are held by self-directed IRA: Thomas John Kelleher IRA. Held of record by Thomas J. Kelleher and M. Meighan Kelleher as Trustees for the Kelleher Family Trust. Held with dispositive power for Mary Meighan Kelleher IRA. Held with dispositive power for Lyndsey Kelleher. Held of record by Thomas J. Kelleher as UTMA custodian for daughter Kaitlin Kelleher. Held with dispositive power for Mackenna Kelleher. Each performance restricted stock unit (PRSU) represents a contingent right to receive one share of Issuer common stock. The PRSUs will vest upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) or upon a Change in Control (as defined in the 2009 Stock Incentive Plan), provided that such TSR is achieved or Change in Control occurs within three (3) years of the grant date. /s/ Thomas J. Kelleher 2019-07-16