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