B. Riley Financial Inc (RILY)

Sector:
FINANCE
Industry:
CONSUMER FINANCE
SIC:
INVESTMENT ADVICE
CEO:
Bryant Richard Riley
Employees:
1,071
21255 BURBANK BLVD., SUITE 400, WOODLAND HILLS, CA 91367
818-884-3737

B. Riley Financial, Inc. engages in the provision of corporate finance, research, sales and trading services to corporate, institutional and high net worth clients. It also provides asset disposition and valuation, appraisal services and real estate consulting services to a wide range of retail, wholesale and industrial clients, as well as lenders, capital providers, private equity investors and professional service firms throughout the U. S., Canada and Europe. It operates through the following segments: Auction & Liquidation Solutions, Valuation & Appraisal Services and Capital Markets Services. The Auction & Liquidation Solutions segment assist clients in maximizing return and recovery rates through the efficient disposition of assets, which include multi-location retail inventory, wholesale inventory, trade fixtures, machinery and equipment, intellectual property and real property. The Valuation & Appraisal Services segment provides valuation and appraisal services to clients with independent appraisals in connection with asset based loans, acquisitions, divestitures and other business needs. The Capital Markets Services segment provides investment banking, corporate finance, research, sales and trading services to corporate, institutional and high net worth clients. The company was founded on May 7, 2009 and is headquartered in Woodland Hills, CA.

Data derived from most recent annual or quarterly report
Market Cap 1.279 Billion Shares Outstanding27.57 Million Avg 30-day Volume 255.948 Thousand
P/E Ratio11.4043 Dividend Yield8.5763 EPS12.08
Price to Revenue1.5543 Debt to Equity3.5412 EBITDA262.834 Million
Price to Book Value2.9781 Operating Margin0.0 Enterprise Value5.826 Billion
Current Ratio EPS Growth-0.71 Quick Ratio
1 Yr BETA 1.6165 52-week High/Low 87.96 / 43.91 Profit Margin14.7563
Operating Cash Flow Growth473.7037 Altman Z-Score Free Cash Flow to Firm -1.262 Billion
View SEC Filings from RILY instead.

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Funds Holding RILY (via 13F filings)

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Mutual Funds Holding RILY BETA

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Recent Filings

Events (8k)

  • 8-K: filed on 2022-05-27:
    Item 5.07: Submission of Matters to a Vote of Security Holders
  • 8-K: filed on 2022-04-28:
    Item 2.02: Results of Operations and Financial Condition
    Item 7.01: Regulation FD Disclosure
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2022-04-25:
    Item 1.01: Entry into a Material Definitive Agreement
    Item 2.03: Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2022-02-23:
    Item 2.02: Results of Operations and Financial Condition
    Item 7.01: Regulation FD Disclosure
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2022-01-21:
    Item 3.02: Unregistered Sales of Equity Securities
    Item 7.01: Regulation FD Disclosure
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2022-01-05:
    Item 2.03: Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
    Item 8.01: Other Events
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2021-12-22:
    Item 5.02: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
    Item 1.01: Entry into a Material Definitive Agreement
    Item 2.03: Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2021-12-13:
    Item 8.01: Other Events
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2021-12-03:
    Item 2.03: Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
    Item 8.01: Other Events
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2021-11-29:
    Item 7.01: Regulation FD Disclosure
    Item 9.01: Financial Statements and Exhibits
  • Open Market Buys/Sells Last 60 Days

    Open Market Buys (P)

    520.2 Thousand total shares from 21 transactions

    Open Market Sells (S)

    125.8 Thousand total shares from 4 transactions

    Exercise Derivative Conversion (M)

    none

    Current/Former Insiders

    Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

    RILEY BRYANT R CHAIRMAN AND CO-CEO

    • Officer
    • Director
    • 10% Owner
    6,258,992 2022-06-10 18

    KELLEHER THOMAS J /ADV CO-CEO

    • Officer
    818,832 2022-06-02 6

    WEITZMAN HOWARD SVP, CHIEF ACCOUNTING OFFICER

    • Officer
    37,398 2022-06-02 4

    YOUNG KENNETH M PRESIDENT

    • Officer
    196,498 2022-06-02 6

    FORMAN ALAN N EVP, GENERAL COUNSEL, SEC

    • Officer
    96,939 2022-06-02 3

    AHN PHILLIP J. CFO & CHIEF OPERATING OFFICER

    • Officer
    199,353 2022-06-02 3

    MOORE ANDREW CEO B. RILEY SECURITIES, INC.

    • Officer
    256,105 2022-06-02 6

    ANTIN ROBERT L

    • Director
    425,498 2022-05-24 2

    PAULSON RANDALL E

    • Director
    185,907 2022-05-24 6

    WILLIAMS MIKEL H

    • Director
    66,602 2022-05-24 1

    LABRAN RENEE E

    • Director
    3,136 2022-05-24 4

    D AGOSTINO ROBERT P

    • Director
    141,073 2022-05-24 1

    SHELDON MICHAEL JOSEPH

    • Director
    44,654 2022-05-24 3

    WALTERS MARIAN

    • Director
    8,265 2022-05-24 1

    BRANDT TAMARA SUE

    • Director
    1,938 2022-05-24 3

    ASHER DANIEL

    • 10% Owner
    2,523,886 2022-05-20 6

    SIMS TODD D.

    • Director
    No longer subject to file 2020-09-14 0

    GUMAER ANDREW CEO OF GREAT AMERICAN GRP, LLC

    • Officer
    • Director
    0 2019-07-12 0

    WUNDERLICH GARY KENT JR

    • Director
    256,900 2018-07-03 0

    TODARO RICHARD L

    • Director
    22,775 2017-08-18 0

    HENDRIX RICHARD J

    • Director
    236,862 2017-07-03 0

    MILLER LLOYD I III

    • FORMER 10% OWNER
    No longer subject to file 2017-06-01 0

    HART MATTHEW J

    • Director
    19,474 2015-05-09 0

    HILTON HUGH G

    • Director
    18,974 2015-05-09 0

    MIDDLETON INTERNATIONAL LTD

    • 10% Owner
    1,499,270 2014-07-15 0

    LIVERPOOL LIMITED PARTNERSHIP

    • 10% Owner
    807,180 2014-07-15 0

    DJ FUND INVESTMENTS, LLC - SERIES E

    ASHER DANIEL

    GOLDMAN FRED

    LAROCQUE MICHAEL

    • 10% Owner
    2,100,000 2014-05-19 0

    NOKOMIS CAPITAL, L.L.C.

    HENDRICKSON BRETT

    • 10% Owner
    24,000,000 2014-05-19 0

    ELLIOTT ASSOCIATES, L.P.

    • 10% Owner
    2,113,520 2011-08-01 0

    LEVITT MICHAEL J

    • Director
    981,755 2011-07-15 0

    KLEIN MARK D

    • Director
    278,630 2011-07-15 0

    CARPENTER SCOTT K EVP, RETAIL SERVICES

    • Officer
    144,136 2011-01-31 0

    ELLIOTT INTERNATIONAL, L.P.

    • 10% Owner
    2,120,280 2010-09-20 0

    WEITZ MARK PRES. WHLSE. & INDUSTRIAL SVCS

    • Officer
    104,715 2010-08-02 0

    PABST THOMAS E CHIEF OPERATING OFFICER

    • Officer
    109,195 2010-08-02 0

    ERICKSON PAUL EVP AND CFO

    • Officer
    98,705 2010-08-02 0

    FRIEDMAN LESTER M MANAGING DIRECTOR, GAAV, LLC

    • Officer
    89,021 2010-08-02 0

    YELLEN HARVEY M VICE CHAIRMAN AND PRESIDENT

    • Officer
    • Director
    • 10% Owner
    5,280,000 2010-06-16 0

    NAUGHTON MARK P SENIOR VP & GEN. COUNSEL

    • Officer
    0 2010-06-16 0

    SHENFELD STEVEN ALAN

    • Director
    No longer subject to file 2009-07-31 0

    SOLAR CAPITAL LLC

    • 10% Owner
    No longer subject to file 2009-07-31 0

    PECK BRADFORD

    • Director
    No longer subject to file 2009-07-31 0

    LAPPING PAUL CFO, TREASURER AND SECRETARY

    • Officer
    No longer subject to file 2009-07-31 0

    KRAEGEL FREDERICK G.

    • Director
    No longer subject to file 2009-07-31 0

    STC INVESTMENT HOLDINGS LLC

    • 10% Owner
    No longer subject to file 2009-07-31 0

    HAWKINS DAVID

    • Director
    No longer subject to file 2009-07-31 0

    OHL LTD

    • 10% Owner
    No longer subject to file 2009-07-31 0

    ALTERNATIVE ASSET MANAGEMENT ACQUISITION CORP.

    • 10% Owner
    100 2009-07-17 0

    INTEGRATED CORE STRATEGIES (US) LLC

    MILLENNIUM MANAGEMENT LLC

    ENGLANDER ISRAEL A

    • 10% Owner
    • MAY BE DEEMED A GROUP MEMBER.MAY BE DEEMED A GROUP MEMBER.
    No longer subject to file 2009-06-16 0

    MILLENCO, L.L.C.

    MILLENNIUM MANAGEMENT, L.L.C.

    ENGLANDER ISRAEL A

    • 10% Owner
    • MAY BE DEEMED A GROUP MEMBER.MAY BE DEEMED A GROUP MEMBER.
    5,617,804 2008-10-10 0

    GROSS MICHAEL S

    • Director
    1,580,150 2008-06-20 0

    BERGER JONATHAN I.

    • Director
    4,167,650 2008-06-20 0

    Insider Transactions Last 60 Days

    Reporting Owners Filing Date Trans Date Trans Code Shares Share Price Acquired
    Disposed
    Shares Owned after D/I 10b5 Perf 1d* Perf 5d* Perf 1m* Max Gain Max Gain Days Max Loss Max Loss Days

    RILEY BRYANT R - Director - Officer - > 10% Owner CHAIRMAN AND CO-CEO

    2022-06-14 09:00:38 -0400 2022-06-13 A 10,000 $47.00 a 5,894,906 direct 1.2252 -6.147 1.2252 2 -6.147 6

    RILEY BRYANT R - Director - Officer - > 10% Owner CHAIRMAN AND CO-CEO

    2022-06-14 09:00:38 -0400 2022-06-10 A 3,205 $49.00 a 5,884,906 direct 1.2252 -6.147 1.2252 2 -6.147 6

    AHN PHILLIP J. - Officer CFO & CHIEF OPERATING OFFICER

    2022-06-03 16:31:55 -0400 2022-06-02 F 3,156 $54.07 d 199,353 direct -0.3473 -14.6435 0.0 1 -14.6435 6

    YOUNG KENNETH M - Officer PRESIDENT

    2022-06-03 16:35:41 -0400 2022-06-02 F 3,558 $54.07 d 166,898 direct -0.3473 -14.6435 0.0 1 -14.6435 6

    MOORE ANDREW - Officer CEO B. RILEY SECURITIES, INC.

    2022-06-03 16:34:38 -0400 2022-06-02 F 3,652 $54.07 d 256,105 direct -0.3473 -14.6435 0.0 1 -14.6435 6

    FORMAN ALAN N - Officer EVP, GENERAL COUNSEL, SEC

    2022-06-03 16:33:46 -0400 2022-06-02 F 703 $54.07 d 96,939 direct -0.3473 -14.6435 0.0 1 -14.6435 6

    KELLEHER THOMAS J /ADV - Officer CO-CEO

    2022-06-03 16:30:54 -0400 2022-06-02 F 6,971 $54.07 d 320,205 direct -0.3473 -14.6435 0.0 1 -14.6435 6

    WEITZMAN HOWARD - Officer SVP, CHIEF ACCOUNTING OFFICER

    2022-06-03 16:32:57 -0400 2022-06-02 F 456 $54.07 d 29,898 direct -0.3473 -14.6435 0.0 1 -14.6435 6

    D AGOSTINO ROBERT P - Director

    2022-05-26 17:01:04 -0400 2022-05-24 A 1,490 a 141,073 direct -1.1459 -0.5093 0.0 1 -1.6551 3

    WILLIAMS MIKEL H - Director

    2022-05-26 17:00:27 -0400 2022-05-24 A 1,490 a 66,602 direct -1.1459 -0.5093 0.0 1 -1.6551 3

    WALTERS MARIAN - Director

    2022-05-26 17:00:39 -0400 2022-05-24 A 1,490 a 2,564 direct -1.1459 -0.5093 0.0 1 -1.6551 3

    PAULSON RANDALL E - Director

    2022-05-26 17:00:49 -0400 2022-05-24 A 1,490 a 185,907 direct -1.1459 -0.5093 0.0 1 -1.6551 3

    YOUNG KENNETH M - Officer PRESIDENT

    2022-05-26 17:01:11 -0400 2022-05-24 F 6,868 $49.56 d 170,456 direct -1.1459 -0.5093 0.0 1 -1.6551 3

    YOUNG KENNETH M - Officer PRESIDENT

    2022-05-26 17:01:11 -0400 2022-05-24 A 22,048 a 177,324 direct -1.1459 -0.5093 0.0 1 -1.6551 3

    WEITZMAN HOWARD - Officer SVP, CHIEF ACCOUNTING OFFICER

    2022-05-26 17:01:13 -0400 2022-05-24 F 2,643 $49.56 d 30,354 direct -1.1459 -0.5093 0.0 1 -1.6551 3

    WEITZMAN HOWARD - Officer SVP, CHIEF ACCOUNTING OFFICER

    2022-05-26 17:01:13 -0400 2022-05-24 A 2,746 a 32,997 direct -1.1459 -0.5093 0.0 1 -1.6551 3

    FORMAN ALAN N - Officer EVP, GENERAL COUNSEL, SEC

    2022-05-26 17:00:22 -0400 2022-05-24 F 4,536 $49.56 d 97,642 direct -1.1459 -0.5093 0.0 1 -1.6551 3

    FORMAN ALAN N - Officer EVP, GENERAL COUNSEL, SEC

    2022-05-26 17:00:22 -0400 2022-05-24 A 4,119 a 102,178 direct -1.1459 -0.5093 0.0 1 -1.6551 3

    SHELDON MICHAEL JOSEPH - Director

    2022-05-26 17:00:34 -0400 2022-05-24 A 1,490 a 44,654 direct -1.1459 -0.5093 0.0 1 -1.6551 3

    AHN PHILLIP J. - Officer CFO & CHIEF OPERATING OFFICER

    2022-05-26 17:00:27 -0400 2022-05-24 A 22,048 a 207,841 direct -1.1459 -0.5093 0.0 1 -1.6551 3

    AHN PHILLIP J. - Officer CFO & CHIEF OPERATING OFFICER

    2022-05-26 17:00:27 -0400 2022-05-24 F 5,332 $49.56 d 202,509 direct -1.1459 -0.5093 0.0 1 -1.6551 3

    KELLEHER THOMAS J /ADV - Officer CO-CEO

    2022-05-26 17:03:48 -0400 2022-05-24 A 42,092 a 340,392 direct -1.1459 -0.5093 0.0 1 -1.6551 3

    KELLEHER THOMAS J /ADV - Officer CO-CEO

    2022-05-26 17:03:48 -0400 2022-05-24 F 13,216 $49.56 d 327,176 direct -1.1459 -0.5093 0.0 1 -1.6551 3

    ANTIN ROBERT L - Director

    2022-05-26 17:00:44 -0400 2022-05-24 A 1,490 a 25,498 direct -1.1459 -0.5093 0.0 1 -1.6551 3

    MOORE ANDREW - Officer CEO B. RILEY SECURITIES, INC.

    2022-05-26 17:03:41 -0400 2022-05-24 A 22,048 a 266,806 direct -1.1459 -0.5093 0.0 1 -1.6551 3

    MOORE ANDREW - Officer CEO B. RILEY SECURITIES, INC.

    2022-05-26 17:03:41 -0400 2022-05-24 F 7,049 $49.56 d 259,757 direct -1.1459 -0.5093 0.0 1 -1.6551 3

    RILEY BRYANT R - Director - Officer - > 10% Owner CHAIRMAN AND CO-CEO

    2022-05-26 17:00:19 -0400 2022-05-24 A 42,092 a 5,881,701 direct -1.1459 -0.5093 0.0 1 -1.6551 3

    LABRAN RENEE E - Director

    2022-05-26 17:00:33 -0400 2022-05-24 A 1,490 a 3,136 direct -1.1459 -0.5093 0.0 1 -1.6551 3

    BRANDT TAMARA SUE - Director

    2022-05-26 17:00:41 -0400 2022-05-24 A 1,490 a 1,938 direct -1.1459 -0.5093 0.0 1 -1.6551 3

    ASHER DANIEL - > 10% Owner thru sphinx trading, lp

    2022-05-24 16:23:17 -0400 2022-05-23 P 1,100 $49.60 a 1,262,493 indirect 3.4884 6.4147 6.5504 3 0.0 1

    ASHER DANIEL - > 10% Owner thru equitec proprietary markers, llc

    2022-05-24 16:23:17 -0400 2022-05-23 P 16,100 $49.60 a 1,261,393 indirect 3.4884 6.4147 6.5504 3 0.0 1

    ASHER DANIEL - > 10% Owner thru equitec proprietary markers, llc

    2022-05-24 16:23:17 -0400 2022-05-20 S 1,700 $50.00 d 1,245,293 indirect 3.4884 6.4147 6.5504 3 0.0 1

    ASHER DANIEL - > 10% Owner thru equitec proprietary markers, llc

    2022-05-24 16:23:17 -0400 2022-05-20 S 122,700 $50.00 d 1,246,993 indirect 3.4884 6.4147 6.5504 3 0.0 1

    ASHER DANIEL - > 10% Owner thru sphinx trading, lp

    2022-05-24 16:23:17 -0400 2022-05-20 S 1,100 $50.00 d 1,369,693 indirect 3.4884 6.4147 6.5504 3 0.0 1

    ASHER DANIEL - > 10% Owner thru equitec proprietary markers, llc

    2022-05-24 16:23:17 -0400 2022-05-20 P 18,800 $50.09 a 1,370,793 indirect 3.4884 6.4147 6.5504 3 0.0 1

    ASHER DANIEL - > 10% Owner thru equitec proprietary markers, llc

    2022-05-27 16:01:43 -0400 2022-05-20 X 1,700 $45.00 d 1,245,293 indirect -0.5152 0.2944 1.0304 3 -0.5152 2

    ASHER DANIEL - > 10% Owner thru equitec proprietary markers, llc

    2022-05-27 16:01:43 -0400 2022-05-20 X 122,700 $50.00 d 1,246,993 indirect -0.5152 0.2944 1.0304 3 -0.5152 2

    ASHER DANIEL - > 10% Owner thru sphinx trading

    2022-05-27 16:01:43 -0400 2022-05-20 X 1,100 $50.00 d 1,369,693 indirect -0.5152 0.2944 1.0304 3 -0.5152 2

    ASHER DANIEL - > 10% Owner thru equitec proprietary markers, llc

    2022-05-20 17:00:28 -0400 2022-05-19 P 1,200 $49.95 a 1,351,993 indirect -1.5299 7.9873 9.239 5 -1.5299 2

    ASHER DANIEL - > 10% Owner thru equitec proprietary markers, llc

    2022-05-19 15:59:53 -0400 2022-05-18 P 21,200 $50.42 a 1,350,793 indirect -0.1587 9.0657 9.0657 6 -1.6862 3

    ASHER DANIEL - > 10% Owner thru equitec proprietary markers, llc

    2022-05-18 17:06:17 -0400 2022-05-17 P 6,000 $49.41 a 1,329,593 indirect -1.8688 3.9517 3.9517 6 -3.5235 4

    ASHER DANIEL - > 10% Owner thru equitec proprietary markets, llc

    2022-05-18 17:06:17 -0400 2022-05-17 S 300 $51.00 d 1,323,593 indirect -1.8688 3.9517 3.9517 6 -3.5235 4

    ASHER DANIEL - > 10% Owner thru equitec proprietary markers, llc

    2022-05-17 16:43:00 -0400 2022-05-16 P 5,290 $49.09 a 1,323,893 indirect 3.0491 3.5105 3.5105 6 -0.5817 5

    RILEY BRYANT R - Director - Officer CHAIRMAN AND CO-CEO

    2022-05-13 17:09:01 -0400 2022-05-13 P 50,000 $48.30 a 5,839,609 direct 5.372 2.0272 5.372 2 0.0 1

    KELLEHER THOMAS J /ADV - Officer CO-CEO see note

    2022-05-12 12:04:55 -0400 2022-05-11 P 5,000 $46.14 a 29,300 indirect 2.6993 9.1817 10.4782 4 0.0 1

    RILEY BRYANT R - Director - Officer - > 10% Owner CHAIRMAN AND CO-CEO

    2022-05-12 12:04:26 -0400 2022-05-11 P 16,296 $45.70 a 5,789,609 direct 2.6993 9.1817 10.4782 4 0.0 1

    RILEY BRYANT R - Director - Officer - > 10% Owner CHAIRMAN AND CO-CEO

    2022-05-10 12:38:56 -0400 2022-05-10 P 50,000 $46.13 a 5,773,313 direct -3.3762 9.6856 -4.3469 16.016 14 -6.246 30

    LABRAN RENEE E - Director

    2022-05-10 14:32:58 -0400 2022-05-09 P 408 $48.98 a 1,646 direct -3.3762 9.6856 -4.3469 16.016 14 -6.246 30

    RILEY BRYANT R - Director - Officer - > 10% Owner CHAIRMAN AND CO-CEO

    2022-05-10 12:38:56 -0400 2022-05-09 P 25,000 $48.70 a 5,723,313 direct -3.3762 9.6856 -4.3469 16.016 14 -6.246 30

    PAULSON RANDALL E - Director

    2022-05-04 13:23:09 -0400 2022-05-03 P 10,000 $48.46 a 184,417 direct -4.2482 -12.9021 -13.6058 4.5784 18 -13.6058 31

    RILEY BRYANT R - Director - Officer - > 10% Owner CHAIRMAN AND CO-CEO

    2022-05-03 15:14:31 -0400 2022-05-03 P 48,814 $48.71 a 5,698,313 direct 5.525 -4.8795 -3.8157 10.3551 19 -8.091 7

    PAULSON RANDALL E - Director

    2022-05-03 11:52:42 -0400 2022-05-02 P 20,000 $46.03 a 174,417 direct 5.525 -4.8795 -3.8157 10.3551 19 -8.091 7

    ANTIN ROBERT L - Director

    2022-05-03 11:52:04 -0400 2022-05-02 P 10,000 $45.53 a 24,008 direct 5.525 -4.8795 -3.8157 10.3551 19 -8.091 7

    MOORE ANDREW - Officer CEO B. RILEY SECURITIES, INC.

    2022-05-03 11:55:18 -0400 2022-05-02 P 10,000 $45.94 a 244,758 direct 5.525 -4.8795 -3.8157 10.3551 19 -8.091 7

    YOUNG KENNETH M - Officer PRESIDENT see note

    2022-05-03 11:53:59 -0400 2022-05-02 P 2,500 $46.69 a 29,600 indirect 5.525 -4.8795 -3.8157 10.3551 19 -8.091 7

    RILEY BRYANT R - Director - Officer - > 10% Owner CHAIRMAN AND CO-CEO

    2022-05-03 11:57:50 -0400 2022-05-02 P 192,529 $46.85 a 5,649,499 direct 5.525 -4.8795 -3.8157 10.3551 19 -8.091 7

    SHELDON MICHAEL JOSEPH - Director

    2022-05-03 11:53:19 -0400 2022-05-02 P 10,000 $47.68 a 43,164 direct 5.525 -4.8795 -3.8157 10.3551 19 -8.091 7

    * -

    Transaction Code Definitions
    Code Definition
    A Grant, award or other acquisition pursuant to Rule 16b-3(d)
    C Conversion of derivative security
    D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
    E Expiration of short derivative position
    F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
    G Bona fide gift
    H Expiration (or cancellation) of long derivative position with value received
    I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
    J Other acquisition or disposition
    L Small acquisition under Rule 16a-6
    M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
    O Exercise of out-of-the-money derivative security
    P Open market or private purchase of non-derivative or derivative security
    S Open market or private sale of non-derivative or derivative security
    U Disposition pursuant to a tender of shares in a change of control transaction
    W Acquisition or disposition by will or the laws of descent and distribution
    X Exercise of in-the-money or at-the-money derivative security
    Z Deposit into or withdrawal from voting trust

    IBR Securities Loan Availability

    Updated throughout the day, this shows the number of shares available to borrow. Data provided by Interactive Brokers

    Security Date/Time Rebate Rate Fee Rate Shares Available
    B. RILEY FINANCIAL INC RILY 2022-06-24 22:15:03 UTC 1.1379 0.4321 500000
    B. RILEY FINANCIAL INC RILY 2022-06-24 21:45:03 UTC 1.1379 0.4321 500000
    B. RILEY FINANCIAL INC RILY 2022-06-24 21:15:04 UTC 1.1379 0.4321 500000
    B. RILEY FINANCIAL INC RILY 2022-06-24 20:45:03 UTC 1.1422 0.4278 500000
    B. RILEY FINANCIAL INC RILY 2022-06-24 20:15:03 UTC 1.1422 0.4278 500000
    B. RILEY FINANCIAL INC RILY 2022-06-24 19:45:03 UTC 1.1422 0.4278 500000
    B. RILEY FINANCIAL INC RILY 2022-06-24 19:15:03 UTC 1.1422 0.4278 500000
    B. RILEY FINANCIAL INC RILY 2022-06-24 18:45:03 UTC 1.1422 0.4278 500000
    B. RILEY FINANCIAL INC RILY 2022-06-24 18:15:04 UTC 1.1422 0.4278 500000
    B. RILEY FINANCIAL INC RILY 2022-06-24 17:45:03 UTC 1.1422 0.4278 500000
    B. RILEY FINANCIAL INC RILY 2022-06-24 17:15:03 UTC 1.1422 0.4278 500000
    B. RILEY FINANCIAL INC RILY 2022-06-24 16:45:03 UTC 1.1616 0.4084 500000
    B. RILEY FINANCIAL INC RILY 2022-06-24 16:15:03 UTC 1.1616 0.4084 500000
    B. RILEY FINANCIAL INC RILY 2022-06-24 15:45:03 UTC 1.1616 0.4084 500000
    B. RILEY FINANCIAL INC RILY 2022-06-24 15:15:03 UTC 1.1616 0.4084 500000
    B. RILEY FINANCIAL INC RILY 2022-06-24 14:45:03 UTC 1.1965 0.3735 500000
    B. RILEY FINANCIAL INC RILY 2022-06-24 14:15:03 UTC 1.1965 0.3735 500000
    B. RILEY FINANCIAL INC RILY 2022-06-24 13:45:03 UTC 1.1965 0.3735 500000
    B. RILEY FINANCIAL INC RILY 2022-06-24 13:15:03 UTC 1.1965 0.3735 500000
    B. RILEY FINANCIAL INC RILY 2022-06-24 12:45:03 UTC 1.1965 0.3735 500000

    Current Active Short Positions

    Holder Issuer Net Short Position Position Date Origin
    RBB Fund, Inc.- Boston Partners Global Long/Short Fund RILY -4826.0 shares, $-287388.3 2022-02-28 N-PORT
    RBB Fund, Inc.- Boston Partners Long/Short Research Fund RILY -35589.0 shares, $-2119324.95 2022-02-28 N-PORT
    Columbia Funds Series Trust I- Multi-Manager Directional Alternative Strategies Fund RILY -5417.0 shares, $-333524.69 2022-01-31 N-PORT
    Columbia Funds Series Trust I- Multi-Manager Directional Alternative Strategies Fund RILY -5417.0 shares, $-333524.69 2022-01-31 N-PORT
    VANGUARD MONTGOMERY FUNDS- VANGUARD MARKET NEUTRAL FUND RILY -29765.0 shares, $-2082359.4 2022-03-31 N-PORT

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