Form Type: 4

SEC EDGAR Link
Accession Number:0001213900-19-012909
Date:2019-07-12
Issuer: B. RILEY FINANCIAL, INC. (RILY)
Original Submission Date:

Reporting Person:

KELLEHER THOMAS J /ADV
C/O B. RILEY FINANCIAL, INC.
21255 BURBANK BLVD, SUITE 400 WOODLAND HILLS, CA 91367

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2019-06-28 A 1,198 a $17.73 138,621 direct
COMMON STOCK 2019-07-12 0 $0.00 10,100 indirect f2
COMMON STOCK 2019-07-12 0 $0.00 456,248 indirect f3
COMMON STOCK 2019-07-12 0 $0.00 600 indirect f4
COMMON STOCK 2019-07-12 0 $0.00 600 indirect f5
COMMON STOCK 2019-07-12 0 $0.00 600 indirect f6
COMMON STOCK 2019-07-12 0 $0.00 600 indirect f7
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
PERFORMANCE RESTRICTED STOCK UNITS 0.0 2019-07-12 deemed execution date A 200,000 (a) common stock 200,000 $0.00 200,000 direct
Footnotes
IDfootnote
f1 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).
f2 the shares are held by self-directed ira: thomas john kelleher ira.
f3 held of record by thomas j. kelleher and m. meighan kelleher as trustees for the kelleher family trust.
f4 held with dispositive power for mary meighan kelleher ira.
f5 held with dispositive power for lyndsey kelleher.
f6 held of record by thomas j. kelleher as utma custodian for daughter kaitlin kelleher.
f7 held with dispositive power for mackenna kelleher.
f8 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 total shareholder return (tsr) of $35.00 (including reinvestment of dividends) or upon a change in control (as defined in the 2009 stock incentive plan), provided that such tsr is achieved or change in control occurs within three (3) years of the grant date.
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