0001213900-20-041460.txt : 20201207 0001213900-20-041460.hdr.sgml : 20201207 20201207215821 ACCESSION NUMBER: 0001213900-20-041460 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201203 FILED AS OF DATE: 20201207 DATE AS OF CHANGE: 20201207 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: 201374295 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: 11100 SANTA MONICA BLVD STREET 2: SUITE 800 CITY: LOS ANGELES STATE: CA ZIP: 90025 BUSINESS PHONE: 818-884-3737 MAIL ADDRESS: STREET 1: 11100 SANTA MONICA BLVD STREET 2: SUITE 800 CITY: LOS ANGELES STATE: CA ZIP: 90025 FORMER COMPANY: FORMER CONFORMED NAME: Great American Group, Inc. DATE OF NAME CHANGE: 20090522 4 1 ownership.xml OWNERSHIP DOCUMENT X0306 4 2020-12-03 0 0001464790 B. Riley Financial, Inc. RILY 0000216309 KELLEHER THOMAS J /ADV C/O B. RILEY FINANCIAL, INC 11100 SANTA MONICA BLVD., SUITE 800 LOS ANGELES CA 90025 0 1 0 0 Co-CEO Common Stock 2020-12-03 4 M 0 200000 A 172964 D Common Stock 15100 I See note Common Stock 454748 I See note Common Stock 5600 I By wife Common Stock 1100 I By daughter Common Stock 1100 I By daughter Common Stock 1100 I By daughter Performance Restricted Stock Units 2020-12-03 4 M 0 200000 0 A Common Stock 200000 0 D Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer. Held by self-directed IRA: Thomas John Kelleher IRA. Held of record by Thomas J. Kelleher and wife as Trustees for the Kelleher Family Trust. Held with dispositive power for a daughter. Held with dispositive power for a daughter. Held with dispositive power for a daughter. Held with dispositive power for a daughter. /s/ Thomas J. Kelleher 2020-12-07