0001213900-20-006040.txt : 20200311
0001213900-20-006040.hdr.sgml : 20200311
20200311181121
ACCESSION NUMBER: 0001213900-20-006040
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200309
FILED AS OF DATE: 20200311
DATE AS OF CHANGE: 20200311
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: 20706554
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
OWNERSHIP DOCUMENT
X0306
4
2020-03-09
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
138621
D
Common Stock
2020-03-09
4
P
0
2500
20.6744
A
12600
I
See note
Common Stock
2020-03-11
4
P
0
2500
20.1906
A
15100
I
See note
Common Stock
454748
I
See note
Common Stock
2020-03-09
4
P
0
2500
20.6744
A
3100
I
By wife
Common Stock
2020-03-11
4
P
0
2500
20.1906
A
5600
I
By wife
Common Stock
1100
I
By daughter
Common Stock
1100
I
By daughter
Common Stock
1100
I
By daughter
This transaction was executed in multiple trades at prices ranging from $20.43 to $20.75. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected.
Held by self-directed IRA: Thomas John Kelleher IRA
This transaction was executed in multiple trades at prices ranging from $20.00 to $20.43. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected.
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.
/s/ Thomas J. Kelleher
2020-03-11