Accession Number: | 0001213900-19-012909 |
Date: | 2019-07-12 |
Issuer: | B. RILEY FINANCIAL, INC. (RILY) |
Original Submission Date: |
KELLEHER THOMAS J /ADV
C/O B. RILEY FINANCIAL, INC.
21255 BURBANK BLVD, SUITE 400
WOODLAND HILLS, CA 91367
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature 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 |
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 Exercisable | Expiration 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 |
ID | footnote |
---|---|
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. |