0001213900-23-060135.txt : 20230727 0001213900-23-060135.hdr.sgml : 20230727 20230727085514 ACCESSION NUMBER: 0001213900-23-060135 CONFORMED SUBMISSION TYPE: 4 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: 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: 231115412 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: 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 1 ownership.xml X0508 4 2023-07-26 0 0001464790 B. Riley Financial, Inc. RILY 0000216309 KELLEHER THOMAS J /ADV C/O B. RILEY FINANCIAL, INC. 11100 SANTA MONICA BLVD., SUITE 800 LOS ANGELES CA 90025 0 1 0 0 Co-CEO 0 Common Stock 2023-06-30 4 A 0 543 39.083 A 95415 D Common Stock 2023-07-26 4 P 0 1818 55.00 A 34118 I See note Common Stock 2023-07-26 4 P 0 7272 55.00 A 876544 I See note Common Stock 5600 I By wife Common Stock 1743 I By daughter Common Stock 1743 I By daughter Common Stock 1743 I By daughter 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). Represents stock purchased as part of public offering of common stock by the issuer. Held by self-directed IRA: Thomas John Kelleher IRA. Held of record by Thomas J. Kelleher and wife as Trustees for the Kelleher Family Trust. Held with dispositive power for a daughter. Held with dispositive power for a daughter. Held with dispositive power for a daughter. Held with dispositive power for a daughter. /s/ Thomas J. Kelleher 2023-07-26