Last 12 months
Inside the activity.
0 purchase rows · 3 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 2 |
| Jun 2026 | 0 | 1 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| July 12, 2019 Filed Jul 16, 2019 22:18 UTC |
Young Kenneth MPresident
|
GrantPerformance Restricted Stock Units · Derivative | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-19-012913 · ownership.xml · derivative · entry 3 Young Kenneth M · CIK 0001365572 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires not disclosed F3 · security: Each performance restricted stock unit (PRSU) represents a contingent right to receive one share of Issuer common stock. The PRSUs will vest upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) or upon a Change in Control (as defined in the 2009 Stock Incentive Plan), provided that such TSR is achieved or Change in Control occurs within three (3) years of the grant date. F3 · derivative.exercise_price: Each performance restricted stock unit (PRSU) represents a contingent right to receive one share of Issuer common stock. The PRSUs will vest upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) or upon a Change in Control (as defined in the 2009 Stock Incentive Plan), provided that such TSR is achieved or Change in Control occurs within three (3) years of the grant date. F3 · derivative.exercise_date: Each performance restricted stock unit (PRSU) represents a contingent right to receive one share of Issuer common stock. The PRSUs will vest upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) or upon a Change in Control (as defined in the 2009 Stock Incentive Plan), provided that such TSR is achieved or Change in Control occurs within three (3) years of the grant date. F3 · derivative.expiration_date: Each performance restricted stock unit (PRSU) represents a contingent right to receive one share of Issuer common stock. The PRSUs will vest upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) or upon a Change in Control (as defined in the 2009 Stock Incentive Plan), provided that such TSR is achieved or Change in Control occurs within three (3) years of the grant date. Read SEC document |
| July 12, 2019 Filed Jul 16, 2019 22:16 UTC |
RILEY BRYANT RDirector · Chairman and Co-CEO · 10% owner
|
GrantPerformance Restricted Stock Units · Derivative | 200,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-19-012911 · ownership.xml · derivative · entry 1 RILEY BRYANT R · CIK 0001207269 · Director · Chairman and Co-CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,000 Underlying: Common Stock · 200,000 shares Expires not disclosed F1 · security: Each performance restricted stock unit (PRSU) represents a contingent right to receive one share of Issuer common stock. The PRSUs will vest upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) or upon a Change in Control (as defined in the 2009 Stock Incentive Plan), provided that such TSR is achieved or Change in Control occurs within three (3) years of the grant date. F1 · derivative.exercise_price: Each performance restricted stock unit (PRSU) represents a contingent right to receive one share of Issuer common stock. The PRSUs will vest upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) or upon a Change in Control (as defined in the 2009 Stock Incentive Plan), provided that such TSR is achieved or Change in Control occurs within three (3) years of the grant date. F1 · derivative.exercise_date: Each performance restricted stock unit (PRSU) represents a contingent right to receive one share of Issuer common stock. The PRSUs will vest upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) or upon a Change in Control (as defined in the 2009 Stock Incentive Plan), provided that such TSR is achieved or Change in Control occurs within three (3) years of the grant date. F1 · derivative.expiration_date: Each performance restricted stock unit (PRSU) represents a contingent right to receive one share of Issuer common stock. The PRSUs will vest upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) or upon a Change in Control (as defined in the 2009 Stock Incentive Plan), provided that such TSR is achieved or Change in Control occurs within three (3) years of the grant date. Read SEC document |
| July 12, 2019 Filed Jul 16, 2019 22:06 UTC |
Ahn Phillip J.CFO & Chief Operating Officer
|
GrantPerformance Restricted Stock Units · Derivative | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-19-012906 · ownership.xml · derivative · entry 2 Ahn Phillip J. · CIK 0001574572 · CFO & Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires not disclosed F2 · security: Each performance restricted stock unit (PRSU) represents a contingent right to receive one share of Issuer common stock. The PRSUs will vest upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) or upon a Change in Control (as defined in the 2009 Stock Incentive Plan), provided that such TSR is achieved or Change in Control occurs within three (3) years of the grant date. F2 · derivative.exercise_price: Each performance restricted stock unit (PRSU) represents a contingent right to receive one share of Issuer common stock. The PRSUs will vest upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) or upon a Change in Control (as defined in the 2009 Stock Incentive Plan), provided that such TSR is achieved or Change in Control occurs within three (3) years of the grant date. F2 · derivative.exercise_date: Each performance restricted stock unit (PRSU) represents a contingent right to receive one share of Issuer common stock. The PRSUs will vest upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) or upon a Change in Control (as defined in the 2009 Stock Incentive Plan), provided that such TSR is achieved or Change in Control occurs within three (3) years of the grant date. F2 · derivative.expiration_date: Each performance restricted stock unit (PRSU) represents a contingent right to receive one share of Issuer common stock. The PRSUs will vest upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) or upon a Change in Control (as defined in the 2009 Stock Incentive Plan), provided that such TSR is achieved or Change in Control occurs within three (3) years of the grant date. Read SEC document |
| June 28, 2019 Filed Jul 16, 2019 22:09 UTC |
KELLEHER THOMAS J /ADVDirector · Co-CEO
|
GrantCommon Stock | 1,198 | $17.73 | $21,241.74 |
DisclosureSEC source: 0001213900-19-012909 · ownership.xml · nonDerivative · entry 1 KELLEHER THOMAS J /ADV · CIK 0000216309 · Director · Co-CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 138,621 F1 · kind: 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). Read SEC document |
| June 28, 2019 Filed Jul 16, 2019 22:10 UTC |
Moore AndrewCEO of B. Riley FBR, Inc.
|
GrantCommon Stock | 1,198 | $17.73 | $21,241.74 |
DisclosureSEC source: 0001213900-19-012910 · ownership.xml · nonDerivative · entry 1 Moore Andrew · CIK 0001746643 · CEO of B. Riley FBR, Inc. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,637 F1 · kind: 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). Read SEC document |
| June 28, 2019 Filed Jul 16, 2019 22:18 UTC |
Young Kenneth MPresident
|
GrantCommon Stock | 788 | $17.73 | $13,972.03 |
DisclosureSEC source: 0001213900-19-012913 · ownership.xml · nonDerivative · entry 1 Young Kenneth M · CIK 0001365572 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,418 F1 · kind: 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). Read SEC document |
| June 28, 2019 Filed Jul 16, 2019 22:06 UTC |
Ahn Phillip J.CFO & Chief Operating Officer
|
GrantCommon Stock | 1,198 | $17.73 | $21,241.74 |
DisclosureSEC source: 0001213900-19-012906 · ownership.xml · nonDerivative · entry 1 Ahn Phillip J. · CIK 0001574572 · CFO & Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,284 F1 · kind: 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). Read SEC document |
| May 24, 2019 Filed May 29, 2019 21:01 UTC |
KELLEHER THOMAS J /ADVDirector · Co-CEO
|
GrantCommon Stock | 38,481 | $0.00 | $0.00 |
DisclosureSEC source: 0001615774-19-008615 · s118584_form4.xml · nonDerivative · entry 1 KELLEHER THOMAS J /ADV · CIK 0000216309 · Director · Co-CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 137,423 F1 · shares: Represents a restricted stock unit that settles in common stock of the Company and vests in three equal installments on May 22, 2020, May 24, 2021 and May 24, 2022. Read SEC document |
| May 24, 2019 Filed May 29, 2019 21:02 UTC |
WEITZMAN HOWARDSVP, Chief Accounting Officer
|
SaleCommon Stock | 10,000 | $19.49 | $194,900.00 |
DisclosureSEC source: 0001615774-19-008617 · s118588_form4.xml · nonDerivative · entry 3 WEITZMAN HOWARD · CIK 0001136368 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,838 F3 · shares: This transaction was executed in multiple trades at prices ranging from $19.49 to $19.50. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| May 24, 2019 Filed May 29, 2019 21:02 UTC |
WEITZMAN HOWARDSVP, Chief Accounting Officer
|
Tax withholdingCommon Stock | 3,152 | $20.32 | $64,048.64 |
DisclosureSEC source: 0001615774-19-008617 · s118588_form4.xml · nonDerivative · entry 2 WEITZMAN HOWARD · CIK 0001136368 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,838 F2 · shares: 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 May 24, 2016, June 13, 2017 and June 13, 2018. Read SEC document |
| May 24, 2019 Filed May 29, 2019 21:02 UTC |
WEITZMAN HOWARDSVP, Chief Accounting Officer
|
GrantCommon Stock | 7,696 | $0.00 | $0.00 |
DisclosureSEC source: 0001615774-19-008617 · s118588_form4.xml · nonDerivative · entry 1 WEITZMAN HOWARD · CIK 0001136368 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,990 F1 · shares: Represents a restricted stock unit that settles in common stock of the Company and vests in three equal installments on May 22, 2020, May 24, 2021 and May 24, 2022. Read SEC document |
| May 24, 2019 Filed May 29, 2019 21:01 UTC |
RILEY BRYANT RDirector · Chairman and Co-CEO · 10% owner
|
GrantCommon Stock | 38,481 | $0.00 | $0.00 |
DisclosureSEC source: 0001615774-19-008612 · s118581_form4.xml · nonDerivative · entry 1 RILEY BRYANT R · CIK 0001207269 · Director · Chairman and Co-CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,482,688 F1 · shares: Represents a restricted stock unit that settles in common stock of the Company and vests in three equal installments on May 22, 2020, May 24, 2021 and May 24, 2022. F2 · balance_after: Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife. Read SEC document |
| May 24, 2019 Filed May 29, 2019 21:00 UTC |
Forman Alan NEVP, General Counsel, Sec
|
Tax withholdingCommon Stock | 4,893 | $20.32 | $99,425.76 |
DisclosureSEC source: 0001615774-19-008610 · s118579_form4.xml · nonDerivative · entry 2 Forman Alan N · CIK 0001490907 · EVP, General Counsel, Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,587 F2 · shares: 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 May 24, 2016, June 13, 2017 and June 13, 2018. Read SEC document |
| May 24, 2019 Filed May 29, 2019 21:00 UTC |
Forman Alan NEVP, General Counsel, Sec
|
GrantCommon Stock | 12,827 | $0.00 | $0.00 |
DisclosureSEC source: 0001615774-19-008610 · s118579_form4.xml · nonDerivative · entry 1 Forman Alan N · CIK 0001490907 · EVP, General Counsel, Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,480 F1 · shares: Represents a restricted stock unit that settles in common stock of the Company and vests in three equal installments on May 22, 2020, May 24, 2021 and May 24, 2022. Read SEC document |
| May 24, 2019 Filed May 29, 2019 17:02 UTC |
Gumaer AndrewDirector · CEO of Great American Grp, LLC
|
Tax withholdingCommon Stock | 9,125 | $20.32 | $185,420.00 |
DisclosureSEC source: 0001615774-19-008616 · s118585_form4.xml · nonDerivative · entry 1 Gumaer Andrew · CIK 0001469265 · Director · CEO of Great American Grp, LLC 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 320,867 F1 · shares: 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 May 24, 2016, June 13, 2017 and June 13, 2018. Read SEC document |
| May 24, 2019 Filed May 29, 2019 21:01 UTC |
Ahn Phillip J.CFO & Chief Operating Officer
|
Tax withholdingCommon Stock | 6,642 | $20.32 | $134,965.44 |
DisclosureSEC source: 0001615774-19-008614 · s118583_form4.xml · nonDerivative · entry 3 Ahn Phillip J. · CIK 0001574572 · CFO & Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,086 F3 · shares: 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 May 24, 2016, June 13, 2017 and June 13, 2018. Read SEC document |
| May 24, 2019 Filed May 29, 2019 21:01 UTC |
Ahn Phillip J.CFO & Chief Operating Officer
|
GrantCommon Stock | 17,958 | $0.00 | $0.00 |
DisclosureSEC source: 0001615774-19-008614 · s118583_form4.xml · nonDerivative · entry 2 Ahn Phillip J. · CIK 0001574572 · CFO & Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,728 F2 · shares: Represents a restricted stock unit that settles in common stock of the Company and vests in three equal installments on, May 22, 2020, May 24, 2021 and May 24, 2022. Read SEC document |
| May 24, 2019 Filed May 29, 2019 21:01 UTC |
Young Kenneth MPresident
|
Tax withholdingCommon Stock | 5,207 | $20.32 | $105,806.24 |
DisclosureSEC source: 0001615774-19-008613 · s118582_form4.xml · nonDerivative · entry 2 Young Kenneth M · CIK 0001365572 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,630 F2 · shares: 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 and June 13, 2018 Read SEC document |
| May 24, 2019 Filed May 29, 2019 21:01 UTC |
Young Kenneth MPresident
|
GrantCommon Stock | 20,523 | $0.00 | $0.00 |
DisclosureSEC source: 0001615774-19-008613 · s118582_form4.xml · nonDerivative · entry 1 Young Kenneth M · CIK 0001365572 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,837 F1 · shares: Represents a restricted stock unit that settles in common stock of the Company and vests in three equal installments on May 22, 2020, May 24, 2021 and May 24, 2022. Read SEC document |
| May 24, 2019 Filed May 29, 2019 21:00 UTC |
Moore AndrewCEO of B. Riley FBR, Inc.
|
GrantCommon Stock | 20,523 | $0.00 | $0.00 |
DisclosureSEC source: 0001615774-19-008611 · s118580_form4.xml · nonDerivative · entry 1 Moore Andrew · CIK 0001746643 · CEO of B. Riley FBR, Inc. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,439 F1 · shares: Represents a restricted stock unit that settles in common stock of the Company and vests in three equal installments on May 22, 2020, May 24, 2021 and May 24, 2022. Read SEC document |
| May 09, 2019 Filed May 9, 2019 19:05 UTC |
RILEY BRYANT RDirector · Chairman and Co-CEO · 10% owner
|
PurchaseCommon Stock | 25,516 | $19.28 | $491,838.76 |
DisclosureSEC source: 0001615774-19-007361 · s118159_form4.xml · nonDerivative · entry 3 RILEY BRYANT R · CIK 0001207269 · Director · Chairman and Co-CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,444,207 F1 · balance_after: Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife. Read SEC document |
| May 08, 2019 Filed May 9, 2019 19:05 UTC |
RILEY BRYANT RDirector · Chairman and Co-CEO · 10% owner
|
PurchaseCommon Stock | 9,738 | $19.25 | $187,454.55 |
DisclosureSEC source: 0001615774-19-007361 · s118159_form4.xml · nonDerivative · entry 2 RILEY BRYANT R · CIK 0001207269 · Director · Chairman and Co-CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,418,691 F1 · balance_after: Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife. Read SEC document |
| May 07, 2019 Filed May 9, 2019 19:05 UTC |
RILEY BRYANT RDirector · Chairman and Co-CEO · 10% owner
|
PurchaseCommon Stock | 4,975 | $19.00 | $94,525.00 |
DisclosureSEC source: 0001615774-19-007361 · s118159_form4.xml · nonDerivative · entry 1 RILEY BRYANT R · CIK 0001207269 · Director · Chairman and Co-CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,408,953 F1 · balance_after: Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife. Read SEC document |
| March 15, 2019 Filed Mar 18, 2019 22:49 UTC |
Young Kenneth MPresident
|
PurchaseCommon Stock | 10,000 | $17.16 | $171,599.00 |
DisclosureSEC source: 0001615774-19-004176 · s116775_form4.xml · nonDerivative · entry 2 Young Kenneth M · CIK 0001365572 · President 10b5-1 filing: Not disclosed Ownership: Indirect · See Note Disclosed balance after: 10,000 F2 · ownership.nature: Held of record by the Kenneth M. Young Revocable Trust U/A 5/8/15. Read SEC document |
| March 14, 2019 Filed Mar 15, 2019 00:44 UTC |
Moore AndrewCEO of B. Riley FBR, Inc.
|
PurchaseCommon Stock | 10,000 | $16.97 | $169,747.00 |
DisclosureSEC source: 0001615774-19-004074 · s116736_form4.xml · nonDerivative · entry 2 Moore Andrew · CIK 0001746643 · CEO of B. Riley FBR, Inc. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,916 Read SEC document |
| March 14, 2019 Filed Mar 15, 2019 22:35 UTC |
KELLEHER THOMAS J /ADVDirector · Co-CEO
|
PurchaseCommon Stock | 10,000 | $16.75 | $167,512.00 |
DisclosureSEC source: 0001615774-19-004134 · s116753_form4.xml · nonDerivative · entry 2 KELLEHER THOMAS J /ADV · CIK 0000216309 · Director · Co-CEO 10b5-1 filing: Not disclosed Ownership: Indirect · See note Disclosed balance after: 10,100 F2 · ownership.nature: 100 shares included in the Thomas John Kelleher IRA account were previously reported under Mr. Kelleher's direct holdings. F3 · ownership.nature: The shares are held by self-directed IRA: Thomas John Kelleher IRA. Read SEC document |
| March 08, 2019 Filed Mar 8, 2019 22:23 UTC |
RILEY BRYANT RDirector · Chairman and Co-CEO · 10% owner
|
PurchaseCommon Stock | 32,945 | $16.95 | $558,272.79 |
DisclosureSEC source: 0001615774-19-003815 · s116645_form4.xml · nonDerivative · entry 3 RILEY BRYANT R · CIK 0001207269 · Director · Chairman and Co-CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,403,978 F1 · balance_after: Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife. Read SEC document |
| March 07, 2019 Filed Mar 8, 2019 22:23 UTC |
RILEY BRYANT RDirector · Chairman and Co-CEO · 10% owner
|
PurchaseCommon Stock | 13,945 | $16.93 | $236,051.20 |
DisclosureSEC source: 0001615774-19-003815 · s116645_form4.xml · nonDerivative · entry 2 RILEY BRYANT R · CIK 0001207269 · Director · Chairman and Co-CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,371,033 F1 · balance_after: Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife. Read SEC document |
| March 06, 2019 Filed Mar 8, 2019 22:23 UTC |
RILEY BRYANT RDirector · Chairman and Co-CEO · 10% owner
|
PurchaseCommon Stock | 3,110 | $16.82 | $52,319.53 |
DisclosureSEC source: 0001615774-19-003815 · s116645_form4.xml · nonDerivative · entry 1 RILEY BRYANT R · CIK 0001207269 · Director · Chairman and Co-CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,357,088 F1 · balance_after: Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife. Read SEC document |
| February 22, 2019 Filed Feb 25, 2019 22:00 UTC |
D Agostino Robert PDirector
|
PurchaseCommon Stock | 679 | $16.63 | $11,292.18 |
DisclosureSEC source: 0001615774-19-002963 · s116311_form4.xml · nonDerivative · entry 2 D Agostino Robert P · CIK 0001342009 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,443 Read SEC document |
| February 22, 2019 Filed Feb 25, 2019 22:00 UTC |
RILEY BRYANT RDirector · Chairman and Co-CEO · 10% owner
|
PurchaseCommon Stock | 1,201 | $16.63 | $19,973.35 |
DisclosureSEC source: 0001615774-19-002964 · s116287_form4.xml · nonDerivative · entry 2 RILEY BRYANT R · CIK 0001207269 · Director · Chairman and Co-CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,353,978 F1 · balance_after: Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife. Read SEC document |
| February 22, 2019 Filed Feb 26, 2019 22:00 UTC |
Sheldon Michael JosephDirector
|
PurchaseCommon Stock | 5,310 | $16.52 | $87,709.52 |
DisclosureSEC source: 0001615774-19-003031 · s116333_form4.xml · nonDerivative · entry 1 Sheldon Michael Joseph · CIK 0001402601 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,178 F1 · price: These shares were acquired in multiple transactions in prices ranging from $16.4499 to $16.5464, inclusive. The price reported above reflects the weighted average purchase price. The reporting person herby undertakes to provide upon request to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1). Read SEC document |
| February 21, 2019 Filed Feb 25, 2019 22:00 UTC |
D Agostino Robert PDirector
|
PurchaseCommon Stock | 7,662 | $16.30 | $124,856.89 |
DisclosureSEC source: 0001615774-19-002963 · s116311_form4.xml · nonDerivative · entry 1 D Agostino Robert P · CIK 0001342009 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 131,764 Read SEC document |
| February 21, 2019 Filed Feb 25, 2019 22:00 UTC |
RILEY BRYANT RDirector · Chairman and Co-CEO · 10% owner
|
PurchaseCommon Stock | 19,512 | $16.28 | $317,643.65 |
DisclosureSEC source: 0001615774-19-002964 · s116287_form4.xml · nonDerivative · entry 1 RILEY BRYANT R · CIK 0001207269 · Director · Chairman and Co-CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,352,777 F1 · balance_after: Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife. Read SEC document |
| February 13, 2019 Filed Feb 14, 2019 22:06 UTC |
RILEY BRYANT RDirector · Chairman and Co-CEO · 10% owner
|
PurchaseCommon Stock | 12,699 | $15.65 | $198,708.87 |
DisclosureSEC source: 0001615774-19-002542 · s116161_form4.xml · nonDerivative · entry 3 RILEY BRYANT R · CIK 0001207269 · Director · Chairman and Co-CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,333,265 F2 · balance_after: Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife. Read SEC document |
| December 31, 2018 Filed Mar 15, 2019 00:44 UTC |
Moore AndrewCEO of B. Riley FBR, Inc.
|
GrantCommon Stock | 1,091 | $12.07 | $13,168.37 |
DisclosureSEC source: 0001615774-19-004074 · s116736_form4.xml · nonDerivative · entry 1 Moore Andrew · CIK 0001746643 · CEO of B. Riley FBR, Inc. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,916 F1 · shares: Represents shares acquired under the provisions of the B. Riley Financial, Inc. 2018 Employee Stock Purchase Plan on December 31, 2018 in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c). Read SEC document |
| December 31, 2018 Filed Mar 15, 2019 22:35 UTC |
KELLEHER THOMAS J /ADVDirector · Co-CEO
|
GrantCommon Stock | 1,091 | $12.07 | $13,168.37 |
DisclosureSEC source: 0001615774-19-004134 · s116753_form4.xml · nonDerivative · entry 1 KELLEHER THOMAS J /ADV · CIK 0000216309 · Director · Co-CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,942 F1 · acquired: 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). F2 · balance_after: 100 shares included in the Thomas John Kelleher IRA account were previously reported under Mr. Kelleher's direct holdings. Read SEC document |
| December 31, 2018 Filed Mar 18, 2019 22:49 UTC |
Young Kenneth MPresident
|
GrantCommon Stock | 230 | $12.07 | $2,776.10 |
DisclosureSEC source: 0001615774-19-004176 · s116775_form4.xml · nonDerivative · entry 1 Young Kenneth M · CIK 0001365572 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,314 F1 · acquired: 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). Read SEC document |
| December 31, 2018 Filed May 29, 2019 21:01 UTC |
Ahn Phillip J.CFO & Chief Operating Officer
|
GrantCommon Stock | 573 | $12.07 | $6,916.11 |
DisclosureSEC source: 0001615774-19-008614 · s118583_form4.xml · nonDerivative · entry 1 Ahn Phillip J. · CIK 0001574572 · CFO & Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,770 F1 · acquired: 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). Read SEC document |
| December 10, 2018 Filed Dec 11, 2018 20:12 UTC |
RILEY BRYANT RDirector · Chairman and Co-CEO · 10% owner
|
PurchaseCommon Stock | 4,330 | $17.15 | $74,255.60 |
DisclosureSEC source: 0001615774-18-014221 · s114657_form4.xml · nonDerivative · entry 6 RILEY BRYANT R · CIK 0001207269 · Director · Chairman and Co-CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · As custodian for UTMA account of E.R. Disclosed balance after: 4,875 F6 · ownership.nature: The shares were purchased for by E.R., the child of the Reporting Person, through a custodial account established pursuant to the UTMA for which the Reporting Person serves as custodian. F7 · ownership.nature: The Reporting Person disclaims beneficial ownership of these shares, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose. Read SEC document |
| December 10, 2018 Filed Dec 11, 2018 20:12 UTC |
RILEY BRYANT RDirector · Chairman and Co-CEO · 10% owner
|
PurchaseCommon Stock | 4,330 | $17.15 | $74,255.60 |
DisclosureSEC source: 0001615774-18-014221 · s114657_form4.xml · nonDerivative · entry 5 RILEY BRYANT R · CIK 0001207269 · Director · Chairman and Co-CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · As custodian for UTMA account of A.R. Disclosed balance after: 4,875 F5 · ownership.nature: The shares were purchased for A.R., the child of the Reporting Person, through a custodial account established pursuant to the UTMA for which the Reporting Person serves as custodian. F7 · ownership.nature: The Reporting Person disclaims beneficial ownership of these shares, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose. Read SEC document |
| December 10, 2018 Filed Dec 11, 2018 20:12 UTC |
RILEY BRYANT RDirector · Chairman and Co-CEO · 10% owner
|
PurchaseCommon Stock | 4,330 | $17.15 | $74,255.60 |
DisclosureSEC source: 0001615774-18-014221 · s114657_form4.xml · nonDerivative · entry 4 RILEY BRYANT R · CIK 0001207269 · Director · Chairman and Co-CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · As custodian for UTMA account of C.R. Disclosed balance after: 4,875 F4 · ownership.nature: The shares were purchased for C.R., the child of the Reporting Person, through a custodial account established pursuant to the UTMA for which the Reporting Person serves as custodian. F7 · ownership.nature: The Reporting Person disclaims beneficial ownership of these shares, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose. Read SEC document |
| December 10, 2018 Filed Dec 11, 2018 20:12 UTC |
RILEY BRYANT RDirector · Chairman and Co-CEO · 10% owner
|
PurchaseCommon Stock | 4,330 | $17.15 | $74,255.60 |
DisclosureSEC source: 0001615774-18-014221 · s114657_form4.xml · nonDerivative · entry 3 RILEY BRYANT R · CIK 0001207269 · Director · Chairman and Co-CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · As custodian for UTMA account of S.R. Disclosed balance after: 4,875 F3 · ownership.nature: The shares were purchased for S.R., the child of the Reporting Person, through a custodial account established pursuant to the Uniform Transfer to Minors Act ("UTMA") for which the Reporting Person serves as custodian. F7 · ownership.nature: The Reporting Person disclaims beneficial ownership of these shares, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose. Read SEC document |
| December 07, 2018 Filed Dec 11, 2018 20:12 UTC |
RILEY BRYANT RDirector · Chairman and Co-CEO · 10% owner
|
PurchaseCommon Stock | 4,400 | $17.40 | $76,560.00 |
DisclosureSEC source: 0001615774-18-014221 · s114657_form4.xml · nonDerivative · entry 2 RILEY BRYANT R · CIK 0001207269 · Director · Chairman and Co-CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By B. Riley Financial, Inc. 401(k) Profit Sharing Plan FBO Bryant Riley Disclosed balance after: 73,617 F2 · ownership.nature: B. Riley Financial, Inc. 401(k) Profit Sharing Plan FBO Bryant Riley was formerly known as "B. Riley & Co., LLC 401(k) Profit Sharing Plan FBO Bryant Riley." Read SEC document |
| December 07, 2018 Filed Dec 11, 2018 20:12 UTC |
RILEY BRYANT RDirector · Chairman and Co-CEO · 10% owner
|
PurchaseCommon Stock | 10,500 | $17.28 | $181,440.00 |
DisclosureSEC source: 0001615774-18-014221 · s114657_form4.xml · nonDerivative · entry 1 RILEY BRYANT R · CIK 0001207269 · Director · Chairman and Co-CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,322,666 F1 · balance_after: Bryant R. Riley (the "Reporting Person") beneficially owns 4,322,666 shares directly or jointly with his wife. Previously, 2,180 shares held in custodial accounts established pursuant to the UTMA (defined below) for the Reporting Person's children were incorrectly reported as shares held directly by the Reporting Person, which is corrected on this Form 4. Read SEC document |
| October 19, 2018 Filed Feb 14, 2019 22:06 UTC |
RILEY BRYANT RDirector · Chairman and Co-CEO · 10% owner
|
GiftCommon Stock | 1,100 | $0.00 | $0.00 |
DisclosureSEC source: 0001615774-19-002542 · s116161_form4.xml · nonDerivative · entry 2 RILEY BRYANT R · CIK 0001207269 · Director · Chairman and Co-CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,320,566 F1 · timeliness: This gift transaction is being voluntarily reported early on Form 4. F2 · balance_after: Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife. Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 21:00 UTC |
Young Kenneth MPresident
|
Tax withholdingCommon Stock | 1,996 | $22.01 | $43,931.96 |
DisclosureSEC source: 0001615774-18-010430 · s113109_form4.xml · nonDerivative · entry 1 Young Kenneth M · CIK 0001365572 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,084 F1 · shares: 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 October 6, 2016. Read SEC document |
| August 22, 2018 Filed Aug 24, 2018 16:15 UTC |
Gumaer AndrewDirector · CEO of Great American Grp, LLC
|
OtherCommon Stock | 9,716 | $22.20 | $215,695.20 |
DisclosureSEC source: 0001615774-18-008616 · s112277_form4.xml · nonDerivative · entry 1 Gumaer Andrew · CIK 0001469265 · Director · CEO of Great American Grp, LLC 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 329,992 F1 · shares: Forfeiture of shares pursuant to that certain Escrow Agreement, dated as of July 31, 2009, entered into in connection with the acquisition of B. Riley Financial, Inc. (f/k/a Great American Group, Inc.) Read SEC document |
| August 21, 2018 Filed Sep 19, 2018 01:02 UTC |
ANTIN ROBERT LDirector
|
GrantCommon Stock | 2,262 | $0.00 | $0.00 |
DisclosureSEC source: 0001615774-18-009694 · s112774_form4.xml · nonDerivative · entry 1 ANTIN ROBERT L · CIK 0000901483 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,868 F1 · shares: Represents a restricted stock unit that settles in common stock of the Company and vests in full on the earlier of June 1, 2019, or the Company's next Annual Shareholder Meeting. Read SEC document |
| August 21, 2018 Filed Sep 18, 2018 21:08 UTC |
Sims Todd D.Director
|
GrantCommon Stock | 2,262 | $0.00 | $0.00 |
DisclosureSEC source: 0001615774-18-009700 · s112777_form4.xml · nonDerivative · entry 1 Sims Todd D. · CIK 0001685242 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,401 F1 · shares: Represents a restricted stock unit that settles in common stock of the Company and vests in full on the earlier of June 1, 2019, or the Company's next Annual Shareholder Meeting. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.