0001615774-19-004134.txt : 20190315
0001615774-19-004134.hdr.sgml : 20190315
20190315183549
ACCESSION NUMBER: 0001615774-19-004134
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190314
FILED AS OF DATE: 20190315
DATE AS OF CHANGE: 20190315
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: 19686345
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
s116753_form4.xml
FORM 4
X0306
4
2019-03-14
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
2018-12-31
5
A
0
E
1091
12.07
A
98942
D
Common Stock
2019-03-14
4
P
0
10000
16.7512
A
10100
I
See note
Common Stock
456248
I
See note
Common Stock
600
I
By wife
Common Stock
600
I
By daughter
Common Stock
600
I
By daughter
Common Stock
600
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).
100 shares included in the Thomas John Kelleher IRA account were previously reported under Mr. Kelleher's direct holdings.
The shares are held by self-directed IRA: Thomas John Kelleher IRA.
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
2019-03-15