Accession Number: | 0001213900-19-012907 |
Date: | 2019-07-12 |
Issuer: | B. RILEY FINANCIAL, INC. (RILY) |
Original Submission Date: |
FORMAN ALAN N
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 |
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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 |
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PERFORMANCE RESTRICTED STOCK UNITS | 0.0 | 2019-07-12 | deemed execution date | A | 50,000 (a) | common stock 50,000 | $0.00 | 50,000 | direct |
ID | footnote |
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f1 | 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. |