0001615774-19-004176.txt : 20190318 0001615774-19-004176.hdr.sgml : 20190318 20190318184923 ACCESSION NUMBER: 0001615774-19-004176 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190315 FILED AS OF DATE: 20190318 DATE AS OF CHANGE: 20190318 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Young Kenneth M CENTRAL INDEX KEY: 0001365572 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37503 FILM NUMBER: 19689722 MAIL ADDRESS: STREET 1: C/O B. RILEY FINANCIAL, INC. STREET 2: 21255 BURBANK BLVD., SUITE 400 CITY: WOODLAND HILLS STATE: CA ZIP: 91367 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 s116775_form4.xml FORM 4 X0306 4 2019-03-15 0 0001464790 B. Riley Financial, Inc. RILY 0001365572 Young Kenneth M C/O B. RILEY FINANCIAL, INC. 21255 BURBANK BLVD., SUITE 400 WOODLAND HILLS CA 91367 0 1 0 0 President Common Stock 2018-12-31 5 A 0 E 230 12.07 A 55314 D Common Stock 2019-03-15 4 P 0 10000 17.1599 A 10000 I See Note Represents shares acquired under the provisions of the B. Riley Financial, Inc. 2018 Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c). Held of record by the Kenneth M. Young Revocable Trust U/A 5/8/15. /s/ Kenneth M Young 2019-03-18