0001213900-20-013461.txt : 20200526
0001213900-20-013461.hdr.sgml : 20200526
20200526172556
ACCESSION NUMBER: 0001213900-20-013461
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200521
FILED AS OF DATE: 20200526
DATE AS OF CHANGE: 20200526
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: KELLEHER THOMAS J /ADV
CENTRAL INDEX KEY: 0000216309
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37503
FILM NUMBER: 20911877
BUSINESS ADDRESS:
STREET 1: 103 PARK TERRACE
CITY: WESTMONT
STATE: NJ
ZIP: 08108
BUSINESS PHONE: 6098580453
MAIL ADDRESS:
STREET 1: C/O B. RILEY FINANCIAL, INC.
STREET 2: 21255 BURBANK BLVD, SUITE 400
CITY: WOODLAND HILLS
STATE: CA
ZIP: 91367
FORMER NAME:
FORMER CONFORMED NAME: KELLEHER THOMAS J /ADV
DATE OF NAME CHANGE: 20000101
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
ownership.xml
X0306
4
2020-05-21
0
0001464790
B. Riley Financial, Inc.
RILY
0000216309
KELLEHER THOMAS J /ADV
C/O B. RILEY FINANCIAL, INC.
21255 BURBANK BLVD, SUITE 400
WOODLAND HILLS
CA
91367
1
1
0
0
Co-CEO
Common Stock
2020-05-21
4
A
0
41482
0.00
A
180103
D
Common Stock
2020-05-22
4
F
0
8131
18.54
D
171972
D
Common Stock
15100
I
See note
Common Stock
454748
I
See note
Common Stock
5600
I
By wife
Common Stock
1100
I
By daughter
Common Stock
1100
I
By daughter
Common Stock
1100
I
By daughter
Represents a restricted stock unit that settles in common stock of the Company and vests in three equal installments on May 24, 2021, May 24, 2022 and May 24, 2023.
Represents shares withheld by the Company and remitted on behalf of the Reporting Person for payment of taxes in connection with the vesting of shares from Restricted Stock Units granted on June 13, 2017, June 13, 2018 and May 24, 2019.
Held by self-directed IRA: Thomas John Kelleher IRA.
Held of record by Thomas J. Kelleher and M. Meighan Kelleher as Trustees for the Kelleher Family Trust.
Held with dispositive power for Mary Meighan Kelleher IRA.
Held with dispositive power for Lyndsey Kelleher.
Held of record by Thomas J. Kelleher as UTMA custodian for daughter Kaitlin Kelleher.
Held with dispositive power for Mackenna Kelleher.
/s/ Thomas J. Kelleher
2020-05-26