0001213900-21-055491.txt : 20211029
0001213900-21-055491.hdr.sgml : 20211029
20211029170018
ACCESSION NUMBER: 0001213900-21-055491
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20211027
FILED AS OF DATE: 20211029
DATE AS OF CHANGE: 20211029
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: 211364035
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
2021-10-27
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
1
1
0
0
Co-CEO
Performance Restricted Stock Units
2021-10-27
4
A
0
150000
0
A
Common Stock
150000
150000
D
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 Adjusted Stock Price Hurdle of $135.00 (including reinvestment of dividends), but not before February 28, 2024, or upon a Change in Control (as defined in the 2021 Stock Incentive Plan), provided that such Adjusted Stock Price Hurdle is achieved, or Change in Control occurs within three (3) years of the grant date and the employee continues to be employed on the vesting date.
/s/ Thomas J. Kelleher
2021-10-29