Accession Number: | 0001251859-22-000005 |
Date: | 2022-05-20 |
Issuer: | B. RILEY FINANCIAL, INC. (RILY) |
Original Submission Date: |
ASHER DANIEL
111 W JACKSON BLVD
20TH FL
CHICAGO, IL 60604
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 | 2022-05-20 | P | 18,800 | a | $50.09 | 1,370,793 | indirect | f1 | |
COMMON STOCK | 2022-05-20 | S | 1,100 | d | $50.00 | 1,369,693 | indirect | ||
COMMON STOCK | 2022-05-20 | S | 122,700 | d | $50.00 | 1,246,993 | indirect | f1 | |
COMMON STOCK | 2022-05-20 | S | 1,700 | d | $50.00 | 1,245,293 | indirect | f1 | |
COMMON STOCK | 2022-05-23 | P | 16,100 | a | $49.60 | 1,261,393 | indirect | f1 | |
COMMON STOCK | 2022-05-23 | P | 1,100 | a | $49.60 | 1,262,493 | indirect | ||
COMMON STOCK | 2022-05-20 | 0 | $0.00 | 73,800 | indirect | f2 | |||
COMMON STOCK | 2022-05-20 | 0 | $0.00 | 825,000 | indirect | f3 |
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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ID | footnote |
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f1 | the reporting person controls 50% of the membership interest in equitec proprietary markets, llc |
f2 | afo blackberry, llc is the managing member of afob fip rily, llc and daniel asher is deemed to control afo blackberry, llc |
f3 | daniel asher holds shared investment and voting power over the 825,000 dj fund shares with dj fund, pursuant to an informal, unwritten agreement. |