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