RILY

SEC source: 0001615774-18-009698 · s112776_form4.xml · nonDerivative · entry 1

Sheldon Michael Joseph · CIK 0001402601 · 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.

SEC source: 0001615774-18-009693 · s112773_form4.xml · nonDerivative · entry 1

Williams Mikel H · CIK 0001308951 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,102

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.

SEC source: 0001615774-18-009696 · s112775_form4.xml · nonDerivative · entry 1

D Agostino Robert P · CIK 0001342009 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,102

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.

SEC source: 0001615774-19-004177 · s116778_form4.xml · nonDerivative · entry 1

Sims Todd D. · CIK 0001685242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,651

F1 · price: These shares were acquired in multiple transactions in prices ranging from $22.3754 to $22.3995, 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).

F2 · ownership.direct: Shares are held of record by Todd Sims individually or as joint tenants with Elsie Sims.

SEC source: 0001615774-18-006276 · s111271_form4.xml · nonDerivative · entry 1

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 241,213

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 July 12, 2017.

SEC source: 0001615774-18-005369 · s110859_form4.xml · nonDerivative · entry 1

KELLEHER THOMAS J /ADV · CIK 0000216309 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,951

F1 · shares: Represents a restricted stock unit that settles in common stock of the Company and vests in three equal installments on May 24, 2019, May 22, 2020 and May 24, 2021.

SEC source: 0001615774-18-005378 · s110863_form4.xml · nonDerivative · entry 1

WEITZMAN HOWARD · CIK 0001136368 · SVP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,294

F1 · shares: Represents a restricted stock unit that settles in common stock of the Company and vests in three equal installments on May 24, 2019, May 22, 2020 and May 24, 2021.

SEC source: 0001615774-18-005371 · s110860_form4.xml · nonDerivative · entry 1

Forman Alan N · CIK 0001490907 · EVP, General Counsel, Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,653

F1 · shares: Represents a restricted stock unit that settles in common stock of the Company and vests in three equal installments on May 24, 2019, May 22, 2020 and May 24, 2021.

SEC source: 0001615774-18-005380 · s110864_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: 339,708

F1 · shares: Represents a restricted stock unit that settles in common stock of the Company and vests in three equal installments on May 24, 2019, May 22, 2020 and May 24, 2021.

SEC source: 0001615774-18-005375 · s110862_form4.xml · nonDerivative · entry 1

Ahn Phillip J. · CIK 0001574572 · CFO & Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,197

F1 · shares: Represents a restricted stock unit that settles in common stock of the Company and vests in three equal installments on May 24, 2019, May 22, 2020 and May 24, 2021.

SEC source: 0001615774-18-005373 · s110861_form4.xml · nonDerivative · entry 1

RILEY BRYANT R · CIK 0001207269 · Director · Chairman and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,314,346

F1 · shares: Represents a restricted stock unit that settles in common stock of the Company and vests in three equal installments on May 24, 2019, May 22, 2020 and May 24, 2021.

F2 · ownership.direct: Bryant Riley beneficially owns 4,312,166 shares directly or jointly with his wife and beneficially owns 2,180 shares in custodial accounts for his children.

SEC source: 0001615774-18-004451 · s110458_form4.xml · nonDerivative · entry 1

WEITZMAN HOWARD · CIK 0001136368 · SVP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,794

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 and June 13, 2017.

SEC source: 0001615774-18-004454 · s110461_form4.xml · nonDerivative · entry 1

Forman Alan N · CIK 0001490907 · EVP, General Counsel, Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,153

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 and June 13, 2017.

SEC source: 0001615774-18-004453 · s110460_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: 319,708

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 and June 13, 2017.

SEC source: 0001615774-18-004455 · s110462_form4.xml · nonDerivative · entry 1

Ahn Phillip J. · CIK 0001574572 · CFO & Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,197

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 and June 13, 2017.

SEC source: 0001615774-18-004452 · s110459_form4.xml · nonDerivative · entry 1

RILEY BRYANT R · CIK 0001207269 · Director · Chairman and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,274,346

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 and June 13, 2017.

F2 · ownership.direct: Bryant Riley beneficially owns 4,272,166 shares directly or jointly with his wife and beneficially owns 2,180 shares in custodial accounts for his children.

SEC source: 0001615774-18-001972 · s109408_form4.xml · nonDerivative · entry 1

RILEY BRYANT R · CIK 0001207269 · Director · Chairman and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,287,439

F1 · shares: Shares were acquired from an unaffiliated stockholder in a negotiated, private purchase transaction.

F2 · ownership.direct: Bryant Riley beneficially owns 4,285,259 shares directly or jointly with his wife and beneficially owns 2,180 shares in custodial accounts for his children.

SEC source: 0001615774-18-001925 · s109377_form4.xml · nonDerivative · entry 2

RILEY BRYANT R · CIK 0001207269 · Director · Chairman and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By B. Riley and Co., LLC 401(k) Profit Sharing Plan FBO Bryant Riley.

Disclosed balance after: 69,217

SEC source: 0001615774-19-002542 · s116161_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: 4,321,666

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.

SEC source: 0001615774-17-007296 · s108414_form4.xml · nonDerivative · entry 1

WEITZMAN HOWARD · CIK 0001136368 · SVP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,966

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 9, 2015.

SEC source: 0001615774-17-007294 · s108413_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: 326,238

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 9, 2015.

SEC source: 0001615774-17-007092 · s108338_form4.xml · nonDerivative · entry 3

RILEY BRYANT R · CIK 0001207269 · Director · Chairman and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By B. Riley and Co., LLC 401(k) Profit Sharing Plan FBO Bryant Riley.

Disclosed balance after: 62,017

SEC source: 0001615774-17-007092 · s108338_form4.xml · nonDerivative · entry 1

RILEY BRYANT R · CIK 0001207269 · Director · Chairman and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,066,258

F1 · price: These shares were acquired in multiple transactions at prices ranging from $17.55 to $17.85, inclusive. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, 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).

F2 · ownership.direct: Bryant Riley beneficially owns 4,064,078 shares directly or jointly with his wife and beneficially owns 2,180 shares in custodial accounts for his children.

SEC source: 0001615774-17-007092 · s108338_form4.xml · nonDerivative · entry 2

RILEY BRYANT R · CIK 0001207269 · Director · Chairman and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By B. Riley and Co., LLC 401(k) Profit Sharing Plan FBO Bryant Riley.

Disclosed balance after: 57,017

F3 · price: These shares were acquired in multiple transactions at prices ranging from $18.12 to $18.18, inclusive. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, 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 (3).

SEC source: 0001615774-17-006901 · s108254_form4.xml · nonDerivative · entry 4

RILEY BRYANT R · CIK 0001207269 · Director · Chairman and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By B. Riley and Co., LLC 401(k) Profit Sharing Plan FBO Bryant Riley.

Disclosed balance after: 49,517

SEC source: 0001615774-17-006901 · s108254_form4.xml · nonDerivative · entry 3

RILEY BRYANT R · CIK 0001207269 · Director · Chairman and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By B. Riley and Co., LLC 401(k) Profit Sharing Plan FBO Bryant Riley.

Disclosed balance after: 40,838

SEC source: 0001615774-17-006901 · s108254_form4.xml · nonDerivative · entry 2

RILEY BRYANT R · CIK 0001207269 · Director · Chairman and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By B. Riley and Co., LLC 401(k) Profit Sharing Plan FBO Bryant Riley.

Disclosed balance after: 35,425

SEC source: 0001615774-17-004678 · s107286_form4.xml · nonDerivative · entry 1

ANTIN ROBERT L · CIK 0000901483 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,606

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, 2018, or the Company's next Annual Shareholder Meeting.

SEC source: 0001615774-17-004676 · s107285_form4.xml · nonDerivative · entry 1

Sims Todd D. · CIK 0001685242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,139

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, 2018, or the Company's next Annual Shareholder Meeting.

SEC source: 0001615774-17-004677 · s107290_form4.xml · nonDerivative · entry 1

Todaro Richard L · CIK 0001615082 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,775

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, 2018, or the Company's next Annual Shareholder Meeting.

SEC source: 0001615774-17-004680 · s107287_form4.xml · nonDerivative · entry 1

D Agostino Robert P · CIK 0001342009 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,840

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, 2018, or the Company's next Annual Shareholder Meeting.

SEC source: 0001615774-17-004679 · s107289_form4.xml · nonDerivative · entry 1

Williams Mikel H · CIK 0001308951 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,840

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, 2018, or the Company's next Annual Shareholder Meeting.

SEC source: 0001615774-17-004675 · s107288_form4.xml · nonDerivative · entry 1

Sheldon Michael Joseph · CIK 0001402601 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,606

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, 2018, or the Company's next Annual Shareholder Meeting.

SEC source: 0001615774-17-003618 · s106810_form4.xml · nonDerivative · entry 1

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 245,194

F1 · shares: Represents a restricted stock unit that settles in common stock of the Company and vests in five equal installments on or about each July 3rd of 2018 through 2022.

SEC source: 0001615774-17-003527 · s106766_form4.xml · nonDerivative · entry 2

HENDRIX RICHARD J · CIK 0001218306 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 236,862

F2 · shares: Represents shares of common stock of B. Riley withheld by the Company and remitted on behalf of the Reporting Person for payment of income taxes incurred for compensation received by the Reporting Person in connection with the issuance of shares of common stock of B. Riley resulting from separation of service as of July 3rd, 2017.

SEC source: 0001615774-17-003527 · s106766_form4.xml · nonDerivative · entry 1

HENDRIX RICHARD J · CIK 0001218306 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 251,654

F1 · shares: Represents non-discretionary formulaic awards of RSUs which are granted on July 3, 2017 to the Reporting Person, and vest on July 3, 2017 pursuant to the Reporting Person's separation agreement. Of these shares, 670 are issued under the 2016 Retention and Incentive Plan, 1,194 are issued under the 2017 One Year Retention and Incentive Plan and 1,194 are issued under the 2017 Two Year Retention and Incentive Plan.

SEC source: 0001615774-17-003525 · s106758_f4.xml · derivative · entry 12

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Gary Wunderlich III Trust

Disclosed balance after: 147

Underlying: Common Stock · 147 shares

Expires 2022-07-03

F1 · price: On July 3, 2017, pursuant to the Merger Agreement, dated as of May 17, 2017, (the "Merger Agreement") by and among B. Riley Financial, Inc. ("B. Riley"), Foxhound Merger Sub, Inc., Wunderlich Investment Company, Inc. ("Wunderlich") and Stephen Bonnema, in his capacity as the Stockholder Representative, B. Riley paid approximately $36.6 million in cash, 2.0 million shares of common stock and 0.8 million warrants in aggregate consideration to holders of Wunderlich common and preferred stock, of which 0.39 million shares of B. Riley common stock and 0.17 million warrants were delivered to an escrow agent to be held pursuant to an escrow agreement entered into at closing by and among B. Riley, Wunderlich and Citibank, N.A., in its capacity as escrow agent (the "Escrow Agreement") in respect of certain potential post-closing claims and post-closing adjustment.

F2 · price: In connection with the issuance of the warrants, B. Riley entered into a warrant agreement with Continental Stock Transfer & Trust Company as warrant agent. The warrants entitle the holders thereof to acquire the same number of shares of B. Riley common stock as the number of warrants. Each share of B. Riley common stock acquired was valued at $14.67 per share and each warrant acquired was valued at $6.08 per warrant.

F19 · balance_after: Pursuant to the Merger Agreement, all warrants of the Gary Wunderlich III Trust received as consideration were deposited into an escrow account to be held pursuant to the terms of the Escrow Agreement.

F13 · ownership.nature: Mr. Wunderlich is the trustee of the Gary Wunderlich III Trust. As such, Mr. Wunderlich may be deemed to have beneficial ownership of the securities owned by this entity.

SEC source: 0001615774-17-003525 · s106758_f4.xml · derivative · entry 11

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Madison Wunderlich Trust

Disclosed balance after: 147

Underlying: Common Stock · 147 shares

Expires 2022-07-03

F1 · price: On July 3, 2017, pursuant to the Merger Agreement, dated as of May 17, 2017, (the "Merger Agreement") by and among B. Riley Financial, Inc. ("B. Riley"), Foxhound Merger Sub, Inc., Wunderlich Investment Company, Inc. ("Wunderlich") and Stephen Bonnema, in his capacity as the Stockholder Representative, B. Riley paid approximately $36.6 million in cash, 2.0 million shares of common stock and 0.8 million warrants in aggregate consideration to holders of Wunderlich common and preferred stock, of which 0.39 million shares of B. Riley common stock and 0.17 million warrants were delivered to an escrow agent to be held pursuant to an escrow agreement entered into at closing by and among B. Riley, Wunderlich and Citibank, N.A., in its capacity as escrow agent (the "Escrow Agreement") in respect of certain potential post-closing claims and post-closing adjustment.

F2 · price: In connection with the issuance of the warrants, B. Riley entered into a warrant agreement with Continental Stock Transfer & Trust Company as warrant agent. The warrants entitle the holders thereof to acquire the same number of shares of B. Riley common stock as the number of warrants. Each share of B. Riley common stock acquired was valued at $14.67 per share and each warrant acquired was valued at $6.08 per warrant.

F18 · balance_after: Pursuant to the Merger Agreement, all warrants of the Madison Wunderlich Trust received as consideration were deposited into an escrow account to be held pursuant to the terms of the Escrow Agreement.

F11 · ownership.nature: Mr. Wunderlich is the trustee of the Madison Wunderlich Trust. As such, Mr. Wunderlich may be deemed to have beneficial ownership of the securities owned by this entity.

SEC source: 0001615774-17-003525 · s106758_f4.xml · derivative · entry 10

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Gary Wunderlich Jr. IRA - WFCS as Custodian Trust

Disclosed balance after: 246

Underlying: Common Stock · 246 shares

Expires 2022-07-03

F1 · price: On July 3, 2017, pursuant to the Merger Agreement, dated as of May 17, 2017, (the "Merger Agreement") by and among B. Riley Financial, Inc. ("B. Riley"), Foxhound Merger Sub, Inc., Wunderlich Investment Company, Inc. ("Wunderlich") and Stephen Bonnema, in his capacity as the Stockholder Representative, B. Riley paid approximately $36.6 million in cash, 2.0 million shares of common stock and 0.8 million warrants in aggregate consideration to holders of Wunderlich common and preferred stock, of which 0.39 million shares of B. Riley common stock and 0.17 million warrants were delivered to an escrow agent to be held pursuant to an escrow agreement entered into at closing by and among B. Riley, Wunderlich and Citibank, N.A., in its capacity as escrow agent (the "Escrow Agreement") in respect of certain potential post-closing claims and post-closing adjustment.

F2 · price: In connection with the issuance of the warrants, B. Riley entered into a warrant agreement with Continental Stock Transfer & Trust Company as warrant agent. The warrants entitle the holders thereof to acquire the same number of shares of B. Riley common stock as the number of warrants. Each share of B. Riley common stock acquired was valued at $14.67 per share and each warrant acquired was valued at $6.08 per warrant.

F17 · balance_after: Pursuant to the Merger Agreement, all warrants of the Gary Wunderlich Jr. IRA - WFCS as Custodian Trust received as consideration were deposited into an escrow account to be held pursuant to the terms of the Escrow Agreement.

F9 · ownership.nature: Mr. Wunderlich benefits from the shares held in his IRA account. As such, Mr. Wunderlich may be deemed to have beneficial ownership of the securities in his IRA account.

SEC source: 0001615774-17-003525 · s106758_f4.xml · derivative · entry 9

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Alvin Wunderlich, Jr. Grandchildren's Trust

Disclosed balance after: 574

Underlying: Common Stock · 574 shares

Expires 2022-07-03

F1 · price: On July 3, 2017, pursuant to the Merger Agreement, dated as of May 17, 2017, (the "Merger Agreement") by and among B. Riley Financial, Inc. ("B. Riley"), Foxhound Merger Sub, Inc., Wunderlich Investment Company, Inc. ("Wunderlich") and Stephen Bonnema, in his capacity as the Stockholder Representative, B. Riley paid approximately $36.6 million in cash, 2.0 million shares of common stock and 0.8 million warrants in aggregate consideration to holders of Wunderlich common and preferred stock, of which 0.39 million shares of B. Riley common stock and 0.17 million warrants were delivered to an escrow agent to be held pursuant to an escrow agreement entered into at closing by and among B. Riley, Wunderlich and Citibank, N.A., in its capacity as escrow agent (the "Escrow Agreement") in respect of certain potential post-closing claims and post-closing adjustment.

F2 · price: In connection with the issuance of the warrants, B. Riley entered into a warrant agreement with Continental Stock Transfer & Trust Company as warrant agent. The warrants entitle the holders thereof to acquire the same number of shares of B. Riley common stock as the number of warrants. Each share of B. Riley common stock acquired was valued at $14.67 per share and each warrant acquired was valued at $6.08 per warrant.

F16 · balance_after: Pursuant to the Merger Agreement, all warrants of the Alvin Wunderlich, Jr. Grandchildren Trust received as consideration were deposited into an escrow account to be held pursuant to the terms of the Escrow Agreement.

F7 · ownership.nature: Mr. Wunderlich benefits from the Alvin Wunderlich, Jr. Grandchildren's Trust. As such, Mr. Wunderlich may be deemed to have beneficial ownership of the securities owned by this entity.

SEC source: 0001615774-17-003525 · s106758_f4.xml · derivative · entry 8

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Wunderlich Children's Trust

Disclosed balance after: 4,854

Underlying: Common Stock · 4,854 shares

Expires 2022-07-03

F1 · price: On July 3, 2017, pursuant to the Merger Agreement, dated as of May 17, 2017, (the "Merger Agreement") by and among B. Riley Financial, Inc. ("B. Riley"), Foxhound Merger Sub, Inc., Wunderlich Investment Company, Inc. ("Wunderlich") and Stephen Bonnema, in his capacity as the Stockholder Representative, B. Riley paid approximately $36.6 million in cash, 2.0 million shares of common stock and 0.8 million warrants in aggregate consideration to holders of Wunderlich common and preferred stock, of which 0.39 million shares of B. Riley common stock and 0.17 million warrants were delivered to an escrow agent to be held pursuant to an escrow agreement entered into at closing by and among B. Riley, Wunderlich and Citibank, N.A., in its capacity as escrow agent (the "Escrow Agreement") in respect of certain potential post-closing claims and post-closing adjustment.

F2 · price: In connection with the issuance of the warrants, B. Riley entered into a warrant agreement with Continental Stock Transfer & Trust Company as warrant agent. The warrants entitle the holders thereof to acquire the same number of shares of B. Riley common stock as the number of warrants. Each share of B. Riley common stock acquired was valued at $14.67 per share and each warrant acquired was valued at $6.08 per warrant.

F15 · balance_after: Pursuant to the Merger Agreement, 412 warrants of the Wunderlich Children's Trust's 4854 warrants received as consideration were deposited into an escrow account to be held pursuant to the terms of the Escrow Agreement.

F5 · ownership.nature: Mr. Wunderlich benefits from the Wunderlich Children's Trust. As such, Mr. Wunderlich may be deemed to have beneficial ownership of the securities owned by this entity.

SEC source: 0001615774-17-003525 · s106758_f4.xml · derivative · entry 7

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,541

Underlying: Common Stock · 63,541 shares

Expires 2022-07-03

F1 · price: On July 3, 2017, pursuant to the Merger Agreement, dated as of May 17, 2017, (the "Merger Agreement") by and among B. Riley Financial, Inc. ("B. Riley"), Foxhound Merger Sub, Inc., Wunderlich Investment Company, Inc. ("Wunderlich") and Stephen Bonnema, in his capacity as the Stockholder Representative, B. Riley paid approximately $36.6 million in cash, 2.0 million shares of common stock and 0.8 million warrants in aggregate consideration to holders of Wunderlich common and preferred stock, of which 0.39 million shares of B. Riley common stock and 0.17 million warrants were delivered to an escrow agent to be held pursuant to an escrow agreement entered into at closing by and among B. Riley, Wunderlich and Citibank, N.A., in its capacity as escrow agent (the "Escrow Agreement") in respect of certain potential post-closing claims and post-closing adjustment.

F2 · price: In connection with the issuance of the warrants, B. Riley entered into a warrant agreement with Continental Stock Transfer & Trust Company as warrant agent. The warrants entitle the holders thereof to acquire the same number of shares of B. Riley common stock as the number of warrants. Each share of B. Riley common stock acquired was valued at $14.67 per share and each warrant acquired was valued at $6.08 per warrant.

F14 · balance_after: Pursuant to the Merger Agreement, 15,263 warrants of Mr. Wunderlich's 63,541 warrants received as consideration were deposited into an escrow account to be held pursuant to the terms of the Escrow Agreement.

SEC source: 0001615774-17-003525 · s106758_f4.xml · nonDerivative · entry 6

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Gary Wunderlich III Trust

Disclosed balance after: 787

F1 · price: On July 3, 2017, pursuant to the Merger Agreement, dated as of May 17, 2017, (the "Merger Agreement") by and among B. Riley Financial, Inc. ("B. Riley"), Foxhound Merger Sub, Inc., Wunderlich Investment Company, Inc. ("Wunderlich") and Stephen Bonnema, in his capacity as the Stockholder Representative, B. Riley paid approximately $36.6 million in cash, 2.0 million shares of common stock and 0.8 million warrants in aggregate consideration to holders of Wunderlich common and preferred stock, of which 0.39 million shares of B. Riley common stock and 0.17 million warrants were delivered to an escrow agent to be held pursuant to an escrow agreement entered into at closing by and among B. Riley, Wunderlich and Citibank, N.A., in its capacity as escrow agent (the "Escrow Agreement") in respect of certain potential post-closing claims and post-closing adjustment.

F2 · price: In connection with the issuance of the warrants, B. Riley entered into a warrant agreement with Continental Stock Transfer & Trust Company as warrant agent. The warrants entitle the holders thereof to acquire the same number of shares of B. Riley common stock as the number of warrants. Each share of B. Riley common stock acquired was valued at $14.67 per share and each warrant acquired was valued at $6.08 per warrant.

F12 · balance_after: Pursuant to the Merger Agreement, 372 shares of the Gary Wunderlich III Trust's 787 shares received as consideration were deposited into an escrow account to be held pursuant to the terms of the Escrow Agreement.

F13 · ownership.nature: Mr. Wunderlich is the trustee of the Gary Wunderlich III Trust. As such, Mr. Wunderlich may be deemed to have beneficial ownership of the securities owned by this entity.

SEC source: 0001615774-17-003525 · s106758_f4.xml · nonDerivative · entry 5

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Madison Wunderlich Trust

Disclosed balance after: 787

F1 · price: On July 3, 2017, pursuant to the Merger Agreement, dated as of May 17, 2017, (the "Merger Agreement") by and among B. Riley Financial, Inc. ("B. Riley"), Foxhound Merger Sub, Inc., Wunderlich Investment Company, Inc. ("Wunderlich") and Stephen Bonnema, in his capacity as the Stockholder Representative, B. Riley paid approximately $36.6 million in cash, 2.0 million shares of common stock and 0.8 million warrants in aggregate consideration to holders of Wunderlich common and preferred stock, of which 0.39 million shares of B. Riley common stock and 0.17 million warrants were delivered to an escrow agent to be held pursuant to an escrow agreement entered into at closing by and among B. Riley, Wunderlich and Citibank, N.A., in its capacity as escrow agent (the "Escrow Agreement") in respect of certain potential post-closing claims and post-closing adjustment.

F2 · price: In connection with the issuance of the warrants, B. Riley entered into a warrant agreement with Continental Stock Transfer & Trust Company as warrant agent. The warrants entitle the holders thereof to acquire the same number of shares of B. Riley common stock as the number of warrants. Each share of B. Riley common stock acquired was valued at $14.67 per share and each warrant acquired was valued at $6.08 per warrant.

F10 · balance_after: Pursuant to the Merger Agreement, 372 shares of the Madison Wunderlich Trust's 787 shares received as consideration were deposited into an escrow account to be held pursuant to the terms of the Escrow Agreement.

F11 · ownership.nature: Mr. Wunderlich is the trustee of the Madison Wunderlich Trust. As such, Mr. Wunderlich may be deemed to have beneficial ownership of the securities owned by this entity.

SEC source: 0001615774-17-003525 · s106758_f4.xml · nonDerivative · entry 4

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Gary Wunderlich Jr. IRA - WFCS as Custodian Trust

Disclosed balance after: 1,320

F1 · price: On July 3, 2017, pursuant to the Merger Agreement, dated as of May 17, 2017, (the "Merger Agreement") by and among B. Riley Financial, Inc. ("B. Riley"), Foxhound Merger Sub, Inc., Wunderlich Investment Company, Inc. ("Wunderlich") and Stephen Bonnema, in his capacity as the Stockholder Representative, B. Riley paid approximately $36.6 million in cash, 2.0 million shares of common stock and 0.8 million warrants in aggregate consideration to holders of Wunderlich common and preferred stock, of which 0.39 million shares of B. Riley common stock and 0.17 million warrants were delivered to an escrow agent to be held pursuant to an escrow agreement entered into at closing by and among B. Riley, Wunderlich and Citibank, N.A., in its capacity as escrow agent (the "Escrow Agreement") in respect of certain potential post-closing claims and post-closing adjustment.

F2 · price: In connection with the issuance of the warrants, B. Riley entered into a warrant agreement with Continental Stock Transfer & Trust Company as warrant agent. The warrants entitle the holders thereof to acquire the same number of shares of B. Riley common stock as the number of warrants. Each share of B. Riley common stock acquired was valued at $14.67 per share and each warrant acquired was valued at $6.08 per warrant.

F8 · balance_after: Pursuant to the Merger Agreement, 623 shares of the Gary Wunderlich Jr. IRA - WFCS as Custodian Trust's 1320 shares received as consideration were deposited into an escrow account to be held pursuant to the terms of the Escrow Agreement.

F9 · ownership.nature: Mr. Wunderlich benefits from the shares held in his IRA account. As such, Mr. Wunderlich may be deemed to have beneficial ownership of the securities in his IRA account.

SEC source: 0001615774-17-003525 · s106758_f4.xml · nonDerivative · entry 3

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Alvin Wunderlich, Jr. Grandchildren's Trust

Disclosed balance after: 3,086

F1 · price: On July 3, 2017, pursuant to the Merger Agreement, dated as of May 17, 2017, (the "Merger Agreement") by and among B. Riley Financial, Inc. ("B. Riley"), Foxhound Merger Sub, Inc., Wunderlich Investment Company, Inc. ("Wunderlich") and Stephen Bonnema, in his capacity as the Stockholder Representative, B. Riley paid approximately $36.6 million in cash, 2.0 million shares of common stock and 0.8 million warrants in aggregate consideration to holders of Wunderlich common and preferred stock, of which 0.39 million shares of B. Riley common stock and 0.17 million warrants were delivered to an escrow agent to be held pursuant to an escrow agreement entered into at closing by and among B. Riley, Wunderlich and Citibank, N.A., in its capacity as escrow agent (the "Escrow Agreement") in respect of certain potential post-closing claims and post-closing adjustment.

F2 · price: In connection with the issuance of the warrants, B. Riley entered into a warrant agreement with Continental Stock Transfer & Trust Company as warrant agent. The warrants entitle the holders thereof to acquire the same number of shares of B. Riley common stock as the number of warrants. Each share of B. Riley common stock acquired was valued at $14.67 per share and each warrant acquired was valued at $6.08 per warrant.

F6 · balance_after: Pursuant to the Merger Agreement, 1457 shares of the Alvin Wunderlich, Jr. Grandchildren's Trust's 3086 shares received as consideration were deposited into an escrow account to be held pursuant to the terms of the Escrow Agreement.

F7 · ownership.nature: Mr. Wunderlich benefits from the Alvin Wunderlich, Jr. Grandchildren's Trust. As such, Mr. Wunderlich may be deemed to have beneficial ownership of the securities owned by this entity.

SEC source: 0001615774-17-003525 · s106758_f4.xml · nonDerivative · entry 2

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Wunderlich Children's Trust

Disclosed balance after: 9,707

F1 · price: On July 3, 2017, pursuant to the Merger Agreement, dated as of May 17, 2017, (the "Merger Agreement") by and among B. Riley Financial, Inc. ("B. Riley"), Foxhound Merger Sub, Inc., Wunderlich Investment Company, Inc. ("Wunderlich") and Stephen Bonnema, in his capacity as the Stockholder Representative, B. Riley paid approximately $36.6 million in cash, 2.0 million shares of common stock and 0.8 million warrants in aggregate consideration to holders of Wunderlich common and preferred stock, of which 0.39 million shares of B. Riley common stock and 0.17 million warrants were delivered to an escrow agent to be held pursuant to an escrow agreement entered into at closing by and among B. Riley, Wunderlich and Citibank, N.A., in its capacity as escrow agent (the "Escrow Agreement") in respect of certain potential post-closing claims and post-closing adjustment.

F2 · price: In connection with the issuance of the warrants, B. Riley entered into a warrant agreement with Continental Stock Transfer & Trust Company as warrant agent. The warrants entitle the holders thereof to acquire the same number of shares of B. Riley common stock as the number of warrants. Each share of B. Riley common stock acquired was valued at $14.67 per share and each warrant acquired was valued at $6.08 per warrant.

F4 · balance_after: Pursuant to the Merger Agreement, 825 shares of the Wunderlich Children's Trust's 9707 shares received as consideration were deposited into an escrow account to be held pursuant to the terms of the Escrow Agreement.

F5 · ownership.nature: Mr. Wunderlich benefits from the Wunderlich Children's Trust. As such, Mr. Wunderlich may be deemed to have beneficial ownership of the securities owned by this entity.

SEC source: 0001615774-17-003525 · s106758_f4.xml · nonDerivative · entry 1

Wunderlich Gary Kent JR · CIK 0001709974 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 163,450

F1 · price: On July 3, 2017, pursuant to the Merger Agreement, dated as of May 17, 2017, (the "Merger Agreement") by and among B. Riley Financial, Inc. ("B. Riley"), Foxhound Merger Sub, Inc., Wunderlich Investment Company, Inc. ("Wunderlich") and Stephen Bonnema, in his capacity as the Stockholder Representative, B. Riley paid approximately $36.6 million in cash, 2.0 million shares of common stock and 0.8 million warrants in aggregate consideration to holders of Wunderlich common and preferred stock, of which 0.39 million shares of B. Riley common stock and 0.17 million warrants were delivered to an escrow agent to be held pursuant to an escrow agreement entered into at closing by and among B. Riley, Wunderlich and Citibank, N.A., in its capacity as escrow agent (the "Escrow Agreement") in respect of certain potential post-closing claims and post-closing adjustment.

F2 · price: In connection with the issuance of the warrants, B. Riley entered into a warrant agreement with Continental Stock Transfer & Trust Company as warrant agent. The warrants entitle the holders thereof to acquire the same number of shares of B. Riley common stock as the number of warrants. Each share of B. Riley common stock acquired was valued at $14.67 per share and each warrant acquired was valued at $6.08 per warrant.

F3 · balance_after: Pursuant to the Merger Agreement, 36,308 shares of Gary K. Wunderlich, Jr.'s 163,450 shares received as consideration were deposited into an escrow account to be held pursuant to the terms of the Escrow Agreement.

SEC source: 0001615774-17-003211 · s106583_form4.xml · nonDerivative · entry 2

RILEY BRYANT R · CIK 0001207269 · Director · Chairman and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By B. Riley and Co., LLC 401(k) Profit Sharing Plan FBO Bryant Riley.

Disclosed balance after: 28,100

F1 · price: These shares were acquired in multiple transactions at prices ranging from $15.525 to $15.5891, inclusive. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, 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).

SEC source: 0001615774-17-003197 · s106557_form4.xml · nonDerivative · entry 1

KELLEHER THOMAS J /ADV · CIK 0000216309 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,951

F1 · shares: Represents a restricted stock unit that settles in common stock of the Company and vests in three equal installments on May 24, 2018, May 24, 2019 and May 22, 2020.