Form Type: 4

SEC EDGAR Link
Accession Number:0001213900-19-012907
Date:2019-07-12
Issuer: B. RILEY FINANCIAL, INC. (RILY)
Original Submission Date:

Reporting Person:

FORMAN ALAN N
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
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 50,000 (a) common stock 50,000 $0.00 50,000 direct
Footnotes
IDfootnote
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.
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