0001615774-18-009694.txt : 20180918 0001615774-18-009694.hdr.sgml : 20180918 20180918210253 ACCESSION NUMBER: 0001615774-18-009694 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180821 FILED AS OF DATE: 20180918 DATE AS OF CHANGE: 20180918 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ANTIN ROBERT L CENTRAL INDEX KEY: 0000901483 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37503 FILM NUMBER: 181076869 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: B. Riley Financial, Inc. CENTRAL INDEX KEY: 0001464790 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389] IRS NUMBER: 270223495 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 21255 BURBANK BLVD. STREET 2: SUITE 400 CITY: WOODLAND HILLS STATE: CA ZIP: 91367 BUSINESS PHONE: 818-884-3737 MAIL ADDRESS: STREET 1: 21255 BURBANK BLVD. STREET 2: SUITE 400 CITY: WOODLAND HILLS STATE: CA ZIP: 91367 FORMER COMPANY: FORMER CONFORMED NAME: Great American Group, Inc. DATE OF NAME CHANGE: 20090522 4 1 s112774_form4.xml 4 X0306 4 2018-08-21 0 0001464790 B. Riley Financial, Inc. RILY 0000901483 ANTIN ROBERT L C/O B. RILEY FINANCIAL, INC. 21255 BURBANK BLVD, SUITE 400 WOODLAND HILLS CA 91367 1 0 0 0 Common Stock 2018-08-21 4 A 0 2262 0 A 4868 D Common Stock 200000 I See footnote Common Stock 200000 I See footnote Represents a restricted stock unit that settles in common stock of the Company and vests in full on the earlier of June 1, 2019, or the Company's next Annual Shareholder Meeting. Held of record by Robert L. Antin and Patti Antin as Trustees for the Robert and Patti Antin Living Trust. The reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Held of record by the Robert Antin Children Irrevocable Trust Dtd 1/1/01 (the "Trust"). The reporting person is the settlor of the Trust. The reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. /s/ Robert L. Antin 2018-09-18