Daniel Asher - 20 May 2022 Form 4 Insider Report for B. Riley Financial, Inc. (RILY)

Role
10%+ Owner
Signature
Daniel Asher
Issuer symbol
RILY
Transactions as of
20 May 2022
Net transactions value
-$4,480,270
Form type
4
Filing time
24 May 2022, 16:23:17 UTC
Previous filing
20 May 2022
Next filing
09 Jan 2026
SEC
View on sec.gov
This filing has been restated, see here for the amended filing

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RILY Common Stock Purchase $941,679 +18,800 +1.4% $50.09 1,370,793 20 May 2022 thru Equitec Proprietary Markers, LLC F1
transaction RILY Common Stock Sale $55,000 -1,100 -0.08% $50.00 1,369,693 20 May 2022 thru Sphinx Trading, LP
transaction RILY Common Stock Sale $6,135,000 -122,700 -9% $50.00 1,246,993 20 May 2022 thru Equitec Proprietary Markers, LLC F1
transaction RILY Common Stock Sale $85,000 -1,700 -0.14% $50.00 1,245,293 20 May 2022 thru Equitec Proprietary Markers, LLC F1
transaction RILY Common Stock Purchase $798,491 +16,100 +1.3% $49.60 1,261,393 23 May 2022 thru Equitec Proprietary Markers, LLC F1
transaction RILY Common Stock Purchase $54,560 +1,100 +0.09% $49.60 1,262,493 23 May 2022 thru Sphinx Trading, LP
holding RILY Common Stock 73,800 20 May 2022 Thru AFOB FIP RILY, LLC F2
holding RILY Common Stock 825,000 20 May 2022 thru DJ Fund Investments, LLC - Series E F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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.