0001213900-23-060305.txt : 20230727 0001213900-23-060305.hdr.sgml : 20230727 20230727170007 ACCESSION NUMBER: 0001213900-23-060305 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230726 FILED AS OF DATE: 20230727 DATE AS OF CHANGE: 20230727 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Moore Andrew CENTRAL INDEX KEY: 0001746643 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-37503 FILM NUMBER: 231119263 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: INVESTMENT ADVICE [6282] IRS NUMBER: 270223495 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 11100 SANTA MONICA BLVD STREET 2: SUITE 800 CITY: LOS ANGELES STATE: CA ZIP: 90025 BUSINESS PHONE: 818-884-3737 MAIL ADDRESS: STREET 1: 11100 SANTA MONICA BLVD STREET 2: SUITE 800 CITY: LOS ANGELES STATE: CA ZIP: 90025 FORMER COMPANY: FORMER CONFORMED NAME: Great American Group, Inc. DATE OF NAME CHANGE: 20090522 4/A 1 ownership.xml X0508 4/A 2023-07-26 2023-07-26 0 0001464790 B. Riley Financial, Inc. RILY 0001746643 Moore Andrew C/O B. RILEY FINANCIAL, INC. 11100 SANTA MONICA BLVD., SUITE 800 LOS ANGELES CA 90025 0 1 0 0 CEO B. Riley Securities, Inc. 0 Common Stock 2023-06-30 4 A 0 543 39.083 A 374663 D Common Stock 2023-07-26 4 P 0 5000 55 A 379663 D 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). This amended report is being filed to correct the date of the transaction. Represents stock purchased as part of public offering of common stock by the issuer. /s/ Andrew Moore 2023-07-26