RILY

SEC source: 0001615774-17-003198 · s106561_form4.xml · nonDerivative · entry 1

WEITZMAN HOWARD · CIK 0001136368 · SVP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,413

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.

SEC source: 0001615774-17-003200 · s106558_form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,517

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.

SEC source: 0001615774-17-003201 · s106562_form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,763

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.

SEC source: 0001615774-17-003202 · s106559_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: 329,856

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.

SEC source: 0001615774-17-003199 · s106560_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: 4,040,186

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.

F2 · ownership.direct: Bryant Riley beneficially owns 4,038,006 shares directly or jointly with his wife and beneficially owns 2,180 shares in custodial accounts for his children.

SEC source: 0001615774-17-002988 · s106471_form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,757

F1 · price: These shares were acquired in multiple transactions at prices ranging from $14.40 to $14.60, 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: 0001615774-17-002989 · s106472_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: 4,001,476

F1 · price: These shares were acquired in multiple transactions at prices ranging from $14.40 to $14.60, 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 3,999,296 shares directly or jointly with his wife and beneficially owns 2,180 shares in custodial accounts for his children.

SEC source: 0001615774-17-002945 · s106459_form4.xml · nonDerivative · entry 4

HENDRIX RICHARD J · CIK 0001218306 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 248,596

F5 · kind: 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 the conversion of the Option.

SEC source: 0001615774-17-002945 · s106459_form4.xml · nonDerivative · entry 3

HENDRIX RICHARD J · CIK 0001218306 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 259,203

F3 · kind: The Reporting Person acquired beneficial ownership of 43,402 shares of common stock of B. Riley in connection with the receipt of a restricted stock unit ("RSU") issued by B. Riley that settles in shares of common stock of B. Riley on certain dates through February 10, 2020, subject to the Reporting Person's continued employment with B. Riley and/or its subsidiaries. Pursuant to the Merger Agreement, the Reporting Person's 41,658 FBR RSUs were converted into B. Riley RSUs, with the number of shares of common stock of B. Riley subject to each such B. Riley RSU equal to the product (rounded to the nearest whole number) of (i) the number of shares of common stock of FBR subject to such FBR RSUs prior to the effective time, multiplied by (ii) the exchange ratio of 0.671.

F4 · kind: (continued from footnote 3) Pursuant to the Merger Agreement, the Reporting Person's 46,051 FBR performance stock units ("PSUs") were also converted into B. Riley RSUs, with the number of shares of common stock of B. Riley subject to such B. Riley RSUs equal to the product (rounded to the nearest whole number) of (i) the number of shares of common stock of FBR that would be earned based on the level of achievement that would result in 50% of the number of shares of common stock of FBR subject to the FBR PSU being earned, multiplied by (ii) the exchange ratio of 0.671. The acquired B. Riley RSUs will continued to be governed on the same terms and conditions as applied to the converted FBR RSUs or FBR PSUs, as applicable (except that performance-based vesting conditions will no longer apply to B. Riley RSUs acquired in respect of FBR PSUs).

F3 · price: The Reporting Person acquired beneficial ownership of 43,402 shares of common stock of B. Riley in connection with the receipt of a restricted stock unit ("RSU") issued by B. Riley that settles in shares of common stock of B. Riley on certain dates through February 10, 2020, subject to the Reporting Person's continued employment with B. Riley and/or its subsidiaries. Pursuant to the Merger Agreement, the Reporting Person's 41,658 FBR RSUs were converted into B. Riley RSUs, with the number of shares of common stock of B. Riley subject to each such B. Riley RSU equal to the product (rounded to the nearest whole number) of (i) the number of shares of common stock of FBR subject to such FBR RSUs prior to the effective time, multiplied by (ii) the exchange ratio of 0.671.

F4 · price: (continued from footnote 3) Pursuant to the Merger Agreement, the Reporting Person's 46,051 FBR performance stock units ("PSUs") were also converted into B. Riley RSUs, with the number of shares of common stock of B. Riley subject to such B. Riley RSUs equal to the product (rounded to the nearest whole number) of (i) the number of shares of common stock of FBR that would be earned based on the level of achievement that would result in 50% of the number of shares of common stock of FBR subject to the FBR PSU being earned, multiplied by (ii) the exchange ratio of 0.671. The acquired B. Riley RSUs will continued to be governed on the same terms and conditions as applied to the converted FBR RSUs or FBR PSUs, as applicable (except that performance-based vesting conditions will no longer apply to B. Riley RSUs acquired in respect of FBR PSUs).

SEC source: 0001615774-17-002945 · s106459_form4.xml · nonDerivative · entry 2

HENDRIX RICHARD J · CIK 0001218306 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 215,801

F2 · kind: The Reporting Person acquired 26,024 shares of common stock of B. Riley in exchange for an option (the "Option") held thereby to purchase 65,000 shares of common stock of FBR. Pursuant to the Merger Agreement, the Option was converted into a number of shares of common stock of B. Riley equal to (i) the number of shares of common stock of FBR subject to the Option immediately prior to the effective time of the merger, multiplied by FBR's option spread (which is the difference between the closing price of a share of common stock of FBR on the trading day immediately prior to the effective time of the merger ($17.55) and the exercise price of the option), divided by (ii) the volume-weighted average price of a share of common stock of B. Riley for the ten trading day period ending on May 30, 2017 ($14.36).

F2 · price: The Reporting Person acquired 26,024 shares of common stock of B. Riley in exchange for an option (the "Option") held thereby to purchase 65,000 shares of common stock of FBR. Pursuant to the Merger Agreement, the Option was converted into a number of shares of common stock of B. Riley equal to (i) the number of shares of common stock of FBR subject to the Option immediately prior to the effective time of the merger, multiplied by FBR's option spread (which is the difference between the closing price of a share of common stock of FBR on the trading day immediately prior to the effective time of the merger ($17.55) and the exercise price of the option), divided by (ii) the volume-weighted average price of a share of common stock of B. Riley for the ten trading day period ending on May 30, 2017 ($14.36).

SEC source: 0001615774-17-002945 · s106459_form4.xml · nonDerivative · entry 1

HENDRIX RICHARD J · CIK 0001218306 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 189,777

F1 · kind: The Reporting Person acquired 189,777 shares of common stock of B. Riley Financial, Inc. ("B. Riley") in exchange for 282,828 shares of common stock of FBR & Co. ("FBR") held thereby at an exchange ratio of 0.671 in connection with the merger of FBR into BRC Merger Sub, LLC, a wholly owned subsidiary of B. Riley (the "Merger" ). The Merger was effected pursuant to that certain Amended and Restated Agreement and Plan of Merger, dated as of March 15, 2017 and effective as of February 17, 2017 (the "Merger Agreement"), by and among FBR, B. Riley and BRC Merger Sub, LLC, and closed on June 1, 2017. Common stock of B. Riley had a closing market value of $14.70 per share on the effective date of the Merger.

F1 · price: The Reporting Person acquired 189,777 shares of common stock of B. Riley Financial, Inc. ("B. Riley") in exchange for 282,828 shares of common stock of FBR & Co. ("FBR") held thereby at an exchange ratio of 0.671 in connection with the merger of FBR into BRC Merger Sub, LLC, a wholly owned subsidiary of B. Riley (the "Merger" ). The Merger was effected pursuant to that certain Amended and Restated Agreement and Plan of Merger, dated as of March 15, 2017 and effective as of February 17, 2017 (the "Merger Agreement"), by and among FBR, B. Riley and BRC Merger Sub, LLC, and closed on June 1, 2017. Common stock of B. Riley had a closing market value of $14.70 per share on the effective date of the Merger.

SEC source: 0001615774-17-002768 · s106378_form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,001

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.

SEC source: 0001615774-17-002767 · s106377_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: 305,662

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.

SEC source: 0001251859-17-000016 · primary_doc.xml · nonDerivative · entry 1

ASHER DANIEL · CIK 0001251859 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,344,193

F1 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities.

F2 · ownership.direct: The securities were sold through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name.

SEC source: 0001251859-17-000015 · primary_doc.xml · nonDerivative · entry 1

ASHER DANIEL · CIK 0001251859 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,344,318

F1 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities.

F2 · ownership.direct: The securities were sold through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name.

SEC source: 0001615774-17-001141 · s105617_form4.xml · nonDerivative · entry 1

Sims Todd D. · CIK 0001685242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,533

SEC source: 0001251859-17-000014 · primary_doc.xml · nonDerivative · entry 1

ASHER DANIEL · CIK 0001251859 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,345,895

F1 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities.

F2 · ownership.direct: The securities were sold through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name.

SEC source: 0001251859-17-000013 · primary_doc.xml · nonDerivative · entry 1

ASHER DANIEL · CIK 0001251859 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,346,827

F1 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities.

F2 · ownership.direct: The securities were sold through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name.

SEC source: 0001251859-17-000012 · primary_doc.xml · nonDerivative · entry 3

ASHER DANIEL · CIK 0001251859 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,347,334

F1 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities.

F2 · ownership.direct: The securities were sold through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name.

SEC source: 0001251859-17-000012 · primary_doc.xml · nonDerivative · entry 2

ASHER DANIEL · CIK 0001251859 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,348,324

F1 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities.

F2 · ownership.direct: The securities were sold through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name.

SEC source: 0001251859-17-000012 · primary_doc.xml · nonDerivative · entry 1

ASHER DANIEL · CIK 0001251859 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,348,974

F1 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities.

F2 · ownership.direct: The securities were sold through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name.

SEC source: 0001251859-17-000011 · primary_doc.xml · nonDerivative · entry 1

ASHER DANIEL · CIK 0001251859 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,349,974

F1 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities.

F2 · ownership.direct: The securities were sold through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name.

SEC source: 0001251859-17-000009 · primary_doc.xml · nonDerivative · entry 1

ASHER DANIEL · CIK 0001251859 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,349,974

F1 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities.

F2 · ownership.direct: The securities were sold through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name.

SEC source: 0001251859-17-000010 · primary_doc.xml · nonDerivative · entry 1

ASHER DANIEL · CIK 0001251859 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,350,172

F1 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities.

F2 · ownership.direct: The securities were sold through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name.

SEC source: 0001251859-17-000008 · primary_doc.xml · nonDerivative · entry 1

ASHER DANIEL · CIK 0001251859 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,350,356

F1 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities.

F2 · ownership.direct: The securities were sold through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name.

SEC source: 0001251859-17-000007 · primary_doc.xml · nonDerivative · entry 1

ASHER DANIEL · CIK 0001251859 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,351,423

F1 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities.

F2 · ownership.direct: The securities were sold through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name.

SEC source: 0001251859-17-000003 · primary_doc.xml · nonDerivative · entry 3

ASHER DANIEL · CIK 0001251859 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,351,923

F1 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities.

F2 · ownership.direct: The securities were sold through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name.

SEC source: 0001251859-17-000003 · primary_doc.xml · nonDerivative · entry 2

ASHER DANIEL · CIK 0001251859 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,353,123

F1 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities.

F2 · ownership.direct: The securities were sold through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name.

SEC source: 0001251859-17-000003 · primary_doc.xml · nonDerivative · entry 1

ASHER DANIEL · CIK 0001251859 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,353,623

F1 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities.

F2 · ownership.direct: The securities were sold through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name.

SEC source: 0001251859-17-000006 · primary_doc.xml · nonDerivative · entry 3

ASHER DANIEL · CIK 0001251859 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,351,923

F1 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities.

F2 · ownership.direct: The securities were sold through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name.

SEC source: 0001251859-17-000006 · primary_doc.xml · nonDerivative · entry 2

ASHER DANIEL · CIK 0001251859 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,353,123

F1 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities.

F2 · ownership.direct: The securities were sold through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name.

SEC source: 0001251859-17-000006 · primary_doc.xml · nonDerivative · entry 1

ASHER DANIEL · CIK 0001251859 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,353,623

F1 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities.

F2 · ownership.direct: The securities were sold through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name.

SEC source: 0001251859-17-000002 · primary_doc.xml · nonDerivative · entry 2

ASHER DANIEL · CIK 0001251859 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,353,723

F1 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities.

F2 · ownership.direct: The securities were sold through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name.

SEC source: 0001251859-17-000002 · primary_doc.xml · nonDerivative · entry 1

ASHER DANIEL · CIK 0001251859 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,353,738

F1 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities.

F2 · ownership.direct: The securities were sold through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name.

SEC source: 0001251859-17-000005 · primary_doc.xml · nonDerivative · entry 2

ASHER DANIEL · CIK 0001251859 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,353,723

F1 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities.

F2 · ownership.direct: The securities were sold through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name.

SEC source: 0001251859-17-000005 · primary_doc.xml · nonDerivative · entry 1

ASHER DANIEL · CIK 0001251859 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,353,738

F1 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities.

F2 · ownership.direct: The securities were sold through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name.

SEC source: 0001251859-17-000001 · primary_doc.xml · nonDerivative · entry 1

ASHER DANIEL · CIK 0001251859 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,354,238

F1 · price: The price reported is the weighted average sale price for the transactions reported. The prices sold ranged from $20.75 to $21.10. The Reporting Person will provide to the issuer, a security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares purchased at each price within the range.

F2 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities.

F3 · ownership.direct: The securities were purchased through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name.

SEC source: 0001251859-17-000004 · primary_doc.xml · nonDerivative · entry 1

ASHER DANIEL · CIK 0001251859 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,354,238

F1 · price: The price reported is the weighted average sale price for the transactions reported. The prices sold ranged from $20.75 to $21.10. The Reporting Person will provide to the issuer, a security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares purchased at each price within the range.

F2 · balance_after: 2,000,000 of the securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. The Reporting Person, a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and the Reporting Person have entered into an informal unwritten agreement that provides the Reporting Person with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and the Reporting Person may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRocque disclaim beneficial ownership of the securities.

F3 · ownership.direct: The securities were sold through, and are held of record in, a brokerage account of Equitec Proprietary Market, LLC attributed to the Reporting Person's name.

SEC source: 0001615774-16-008907 · s104951_form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,609

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: 0001615774-16-008903 · s104949_form4.xml · nonDerivative · entry 1

WEITZMAN HOWARD · CIK 0001136368 · SVP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,703

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: 0001615774-16-008897 · s104946_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: 3,969,996

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.

F2 · ownership.direct: Bryant Riley beneficially owns 3,968,216 shares directly or jointly with his wife and beneficially owns 1,780 shares in custodial accounts for his children.

SEC source: 0001615774-16-008899 · s104947_form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,279

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 12, 2015.

SEC source: 0001615774-16-008901 · s104948_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: 309,509

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: 0001615774-16-008905 · s104950_form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,408

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: 0001615774-16-008131 · s104345_form4.xml · nonDerivative · entry 1

Sims Todd D. · CIK 0001685242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,233

F1 · shares: Represents a restricted stock unit that settles in common stock of the Company and vests in full on the earlier of May 24, 2017 or the next Annual Meeting of Stockholders.