0001213900-23-096980.txt : 20231219
0001213900-23-096980.hdr.sgml : 20231219
20231219170009
ACCESSION NUMBER: 0001213900-23-096980
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20231215
FILED AS OF DATE: 20231219
DATE AS OF CHANGE: 20231219
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: KELLEHER THOMAS J /ADV
CENTRAL INDEX KEY: 0000216309
ORGANIZATION NAME:
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37503
FILM NUMBER: 231498230
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]
ORGANIZATION NAME: 02 Finance
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
2023-12-15
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
2023-12-15
4
P
0
20000
20.2196
A
896544
I
See note
Common Stock
2023-12-15
4
G
0
4986
0.00
D
891558
I
See note
Common Stock
95415
D
Common Stock
34118
I
See note
Common Stock
5600
I
By wife
Common Stock
3405
I
By daughter
Common Stock
3405
I
By daughter
Common Stock
3405
I
By daughter
These transactions were executed in multiple trades at prices ranging from $20.10 to $20.25. The prices reported above reflect the weighted average purchase prices. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.
Held of record by Thomas J. Kelleher and wife as Trustees for the Kelleher Family Trust.
Represents shares gifted by the reporting person as follows: 1,662 shares each to the accounts of his three daughters.
Held by self-directed IRA: Thomas John Kelleher IRA.
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
2023-12-19