0001213900-22-010268.txt : 20220302 0001213900-22-010268.hdr.sgml : 20220302 20220302090400 ACCESSION NUMBER: 0001213900-22-010268 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220228 FILED AS OF DATE: 20220302 DATE AS OF CHANGE: 20220302 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: 22701517 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: INVESTMENT ADVICE [6282] 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 X0306 4 2022-02-28 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 2021-06-30 4 A 0 331 64.175 A 298300 D Common Stock 2022-02-28 4 P 0 4300 58.6404 A 24300 I See note Common Stock 459848 I See note Common Stock 5600 I By wife Common Stock 1293 I By daughter Common Stock 1293 I By daughter Common Stock 1293 I By daughter 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). These transactions were executed in multiple trades at prices ranging from $58.64 to $58.69. 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. 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 2022-03-02