X0306 4 2016-05-24 0 0001464790 B. Riley Financial, Inc. RILY 0001207269 RILEY BRYANT R C/O B. RILEY FINANCIAL, INC., 11100 SANTA MONICA BLVD., STE. 800 LOS ANGELES CA 90025 1 1 1 0 Chairman and CEO Common Stock 2016-05-24 4 A 0 40507 0 A 3975785 D Common Stock 100 I By B. Riley and Co., LLC 401(k) Profit Sharing Plan FBO Bryant Riley. Common Stock 200000 I By the Robert Antin Children Irrevocable Trust Represents a restricted stock unit that settles in common stock of the Company and vests in three equal installments on May 24, 2017, May 24, 2018, and May 24, 2019. Bryant Riley beneficially owns 3,974,005 shares directly or jointly with his wife and beneficially owns 1,780 shares in custodial accounts for his children. Held of record by the Robert Antin Children Irrevocable Trust Dtd 1/1/01 (the "Trust"). Mr. Riley, as Trustee may be deemed to beneficially own the shares held by the Trust. /s/ Bryant R. Riley 2016-05-26