0001213900-24-020549.txt : 20240306
0001213900-24-020549.hdr.sgml : 20240306
20240306185728
ACCESSION NUMBER: 0001213900-24-020549
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20240304
FILED AS OF DATE: 20240306
DATE AS OF CHANGE: 20240306
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: KELLEHER THOMAS J /ADV
CENTRAL INDEX KEY: 0000216309
ORGANIZATION NAME:
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37503
FILM NUMBER: 24727636
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]
ORGANIZATION NAME: 02 Finance
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
X0508
4
2024-03-04
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
0
Common Stock
2023-12-29
4
A
0
1
17.84
A
95416
D
Common Stock
2024-03-04
4
A
0
83086
0.00
A
178502
D
Common Stock
891558
I
See note
Common Stock
34118
I
See note
Common Stock
5600
I
By wife
Common Stock
3405
I
By daughter
Common Stock
3405
I
By daughter
Common Stock
3405
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).
Represents a restricted stock unit award that settles in common stock of the Company and vests in three equal installments on March 15, 2025, March 15, 2026 and March 15, 2027.
Held of record by Thomas J. Kelleher and wife as Trustees for the Kelleher Family Trust.
Held by self-directed IRA: Thomas John Kelleher IRA.
Held with dispositive power for wife.
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
2024-03-06