Form Type: 4/A

SEC EDGAR Link
Accession Number:0001251859-22-000006
Date:2022-05-20
Issuer: B. RILEY FINANCIAL, INC. (RILY)
Original Submission Date:2022-05-24

Reporting Person:

ASHER DANIEL
111 W JACKSON BLVD
20TH FL CHICAGO, IL 60604

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 2022-05-20 X 1,100 d $50.00 1,369,693 indirect
COMMON STOCK 2022-05-20 X 122,700 d $50.00 1,246,993 indirect f1
COMMON STOCK 2022-05-20 X 1,700 d $45.00 1,245,293 indirect f1
COMMON STOCK 2022-05-20 0 $0.00 730,800 indirect f2
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
Footnotes
IDfootnote
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 this amendment is being made to correct the item 3 transaction code from s to x for the items set forth in table 1. these transactions were assignments on short call positions that were entered by daniel asher prior to the may, 13, 2022. in addition the price of the disposal (d) in item4 with respect to the 1,700 assigned shares held through equitec proprietary markets has been corrected to $45
f4 this amendment also corrects the amount of securities beneficially owned (item 5) through afob fip rily, llc.
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