RILY

SEC source: 0001213900-21-003896 · ownership.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: 4,951,677

F1 · kind: This transaction was executed in multiple trades at prices ranging from $47.50 to $47.87. 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 a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife.

SEC source: 0001213900-21-001840 · ownership.xml · nonDerivative · entry 3

KELLEHER THOMAS J /ADV · CIK 0000216309 · Co-CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · See note

Disclosed balance after: 459,848

F1 · shares: Represents stock purchased as part of a public offering of common stock by issuer.

F3 · ownership.nature: Held of record by Thomas J. Kelleher and wife as Trustees for the Kelleher Family Trust.

SEC source: 0001213900-21-001840 · ownership.xml · nonDerivative · entry 2

KELLEHER THOMAS J /ADV · CIK 0000216309 · Co-CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · See note

Disclosed balance after: 20,000

F1 · shares: Represents stock purchased as part of a public offering of common stock by issuer.

F2 · ownership.nature: Held by self-directed IRA: Thomas John Kelleher IRA.

SEC source: 0001213900-21-001843 · ownership.xml · nonDerivative · entry 2

Young Kenneth M · CIK 0001365572 · President

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note

Disclosed balance after: 16,100

F1 · shares: Represents stock purchased as part of a public offering of common stock by issuer.

F2 · ownership.nature: Held of record by the Kenneth M. Young Revocable Trust U/A 5/8/15.

SEC source: 0001213900-21-001842 · ownership.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: 4,950,005

F1 · shares: Represents stock purchased as part of a public offering of common stock by issuer.

F2 · balance_after: Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife.

SEC source: 0001213900-21-001841 · ownership.xml · nonDerivative · entry 1

PAULSON RANDALL E · CIK 0001263385 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,343

F1 · shares: Represents stock purchased as part of a public offering of common stock by issuer.

SEC source: 0001213900-20-043134 · ownership.xml · nonDerivative · entry 1

KELLEHER THOMAS J /ADV · CIK 0000216309 · Co-CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 273,804

F1 · shares: Represents shares withheld for payment of taxes in connection with the vesting of shares from Performance Restricted Stock Units granted on July 12, 2019.

SEC source: 0001213900-20-043133 · ownership.xml · nonDerivative · entry 1

WEITZMAN HOWARD · CIK 0001136368 · SVP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,715

F1 · shares: Represents shares withheld for payment of taxes in connection with the vesting of shares from Performance Restricted Stock Units granted on July 12, 2019.

SEC source: 0001213900-20-043131 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,988

F1 · shares: Represents shares withheld for payment of taxes in connection with the vesting of shares from Performance Restricted Stock Units granted on July 12, 2019.

SEC source: 0001213900-20-043136 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,911

F1 · shares: Represents shares withheld for payment of taxes in connection with the vesting of shares from Performance Restricted Stock Units granted on July 12, 2019.

SEC source: 0001213900-20-043135 · ownership.xml · nonDerivative · entry 1

Young Kenneth M · CIK 0001365572 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 141,611

F1 · shares: Represents shares withheld for payment of taxes in connection with the vesting of shares from Performance Restricted Stock Units granted on July 12, 2019.

SEC source: 0001213900-20-043132 · ownership.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: 4,850,005

F1 · shares: Represents shares withheld for payment of taxes in connection with the vesting of shares from Performance Restricted Stock Units granted on July 12, 2019.

F2 · balance_after: Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife.

SEC source: 0001213900-20-043130 · ownership.xml · nonDerivative · entry 1

Moore Andrew · CIK 0001746643 · CEO B. Riley Securities, Inc.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 207,734

F1 · shares: Represents shares withheld for payment of taxes in connection with the vesting of shares from Performance Restricted Stock Units granted on July 12, 2019.

SEC source: 0001213900-20-041460 · ownership.xml · derivative · entry 8

KELLEHER THOMAS J /ADV · CIK 0000216309 · Co-CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 200,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer.

F1 · derivative.exercise_date: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer.

F1 · derivative.expiration_date: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer.

SEC source: 0001213900-20-041460 · ownership.xml · nonDerivative · entry 1

KELLEHER THOMAS J /ADV · CIK 0000216309 · Co-CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 172,964

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer.

F1 · price: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer.

SEC source: 0001213900-20-041452 · ownership.xml · derivative · entry 3

WEITZMAN HOWARD · CIK 0001136368 · SVP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer.

F1 · derivative.exercise_date: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer.

F1 · derivative.expiration_date: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer.

SEC source: 0001213900-20-041452 · ownership.xml · nonDerivative · entry 1

WEITZMAN HOWARD · CIK 0001136368 · SVP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,262

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer.

F1 · price: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer.

SEC source: 0001213900-20-041459 · ownership.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer.

F1 · derivative.exercise_date: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer.

F1 · derivative.expiration_date: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer.

SEC source: 0001213900-20-041459 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,757

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer.

F1 · price: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer.

SEC source: 0001213900-20-041457 · ownership.xml · derivative · entry 3

Young Kenneth M · CIK 0001365572 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 100,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer.

F1 · derivative.exercise_date: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer.

F1 · derivative.expiration_date: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer.

SEC source: 0001213900-20-041457 · ownership.xml · nonDerivative · entry 1

Young Kenneth M · CIK 0001365572 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 186,419

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer.

F1 · price: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer.

SEC source: 0001213900-20-041455 · ownership.xml · derivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 200,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer.

F1 · derivative.exercise_date: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer.

F1 · derivative.expiration_date: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer.

SEC source: 0001213900-20-041455 · ownership.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: 4,949,165

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer.

F1 · price: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer.

F2 · balance_after: Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife.

SEC source: 0001213900-20-041448 · ownership.xml · derivative · entry 2

Moore Andrew · CIK 0001746643 · CEO B. Riley Securities, Inc.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 100,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer.

F1 · derivative.exercise_date: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer.

F1 · derivative.expiration_date: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer.

SEC source: 0001213900-20-041448 · ownership.xml · nonDerivative · entry 1

Moore Andrew · CIK 0001746643 · CEO B. Riley Securities, Inc.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 253,922

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer.

F1 · price: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer.

SEC source: 0001213900-20-041441 · ownership.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 0 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer.

F2 · derivative.exercise_date: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer.

F2 · derivative.expiration_date: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer.

SEC source: 0001213900-20-041441 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 217,099

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · shares: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer.

F2 · price: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer.

SEC source: 0001213900-20-041635 · ownership.xml · derivative · entry 1

KELLEHER THOMAS J /ADV · CIK 0000216309 · Co-CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 200,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer.

F2 · shares: Original Form 4 inadvertently reported the PRSUs as an acquisition instead of a disposition.

F1 · derivative.exercise_date: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer.

F1 · derivative.expiration_date: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer.

SEC source: 0001213900-20-041632 · ownership.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer.

F2 · shares: Original Form 4 inadvertently reported the PRSUs as an acquisition instead of a disposition.

F1 · derivative.exercise_date: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer.

F1 · derivative.expiration_date: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer.

SEC source: 0001213900-20-041629 · ownership.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 100,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer.

F2 · shares: Original Form 4 inadvertently reported the PRSUs as an acquisition instead of a disposition.

F1 · derivative.exercise_date: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer.

F1 · derivative.expiration_date: Each performance restricted stock unit represented the right to receive a share of Common Stock upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) (as defined in the 2009 Stock Incentive Plan) within three (3) years of the grant date. These shares are subject to a 2-year restriction on sale or transfer.

SEC source: 0001213900-21-009052 · ownership.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: 4,982,177

F1 · balance_after: Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife.

SEC source: 0001213900-20-038364 · ownership.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: 4,749,165

F1 · kind: This transaction was executed in multiple trades at prices ranging from $31.90 to $33.00. 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 a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife.

SEC source: 0001213900-20-034781 · ownership.xml · nonDerivative · entry 1

PAULSON RANDALL E · CIK 0001263385 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,343

F1 · kind: This transaction was executed in multiple trades at prices ranging from $26.65 to $26.73. 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 a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001213900-20-034779 · ownership.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: 4,734,165

F1 · kind: This transaction was executed in multiple trades at prices ranging from $26.65 to $26.76. 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 a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife.

SEC source: 0001213900-20-035374 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By BRC Partners Opportunity Fund, LP

Disclosed balance after: 317,915

F2 · kind: This transaction was executed in multiple trades at prices ranging from $26.65 to $26.76. 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 a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F3 · ownership.nature: Represents shares held directly by BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"). The Reporting Person holds investment authority in BRPLP, and as such, may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRPLP. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

SEC source: 0001213900-20-026727 · ownership.xml · nonDerivative · entry 1

Sims Todd D. · CIK 0001685242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,163

F1 · shares: Pursuant to Mr. Sims resignation from the Company's Board of Directors, effective September 14, 2020, certain Restricted Stock Units granted on June 18, 2020 as part of director compensation for the 2020-2021 term, were forfeited in accordance with their terms and on a pro-rated basis.

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

SEC source: 0001213900-20-025899 · ownership.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: 4,674,165

F1 · kind: This transaction was executed in multiple trades at prices ranging from $25.57 to $25.60. 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 a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife.

SEC source: 0001213900-20-025528 · ownership.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: 4,672,941

F1 · kind: This transaction was executed in multiple trades at prices ranging from $26.125 to $26.25. 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 a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife.

SEC source: 0001213900-20-025150 · ownership.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Indirect · UTMA account of E.R.

Disclosed balance after: 5,575

F6 · ownership.nature: The shares are held for 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.

SEC source: 0001213900-20-025150 · ownership.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Indirect · UTMA account of A.R.

Disclosed balance after: 5,575

F5 · ownership.nature: The shares are held 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.

SEC source: 0001213900-20-025150 · ownership.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Indirect · UTMA account of C.R.

Disclosed balance after: 5,575

F4 · ownership.nature: The shares are held 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.

SEC source: 0001213900-20-025150 · ownership.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Indirect · UTMA account of S.R.

Disclosed balance after: 5,575

F3 · ownership.nature: The shares are held 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.

SEC source: 0001213900-20-025150 · ownership.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: 4,670,659

F1 · balance_after: Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife.

SEC source: 0001213900-20-023941 · ownership.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: 4,655,659

F1 · kind: This transaction was executed in multiple trades at prices ranging from $26.62 to $26.7299. 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 a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife.

SEC source: 0001213900-20-020821 · ownership.xml · nonDerivative · entry 1

PAULSON RANDALL E · CIK 0001263385 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,343

F1 · kind: This transaction was executed in multiple trades at prices ranging from $26.94 to $27.00. 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 a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001213900-20-020792 · ownership.xml · nonDerivative · entry 2

Young Kenneth M · CIK 0001365572 · President

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note

Disclosed balance after: 14,500

F2 · ownership.nature: Held of record by the Kenneth M. Young Revocable Trust U/A 5/8/15.

SEC source: 0001213900-20-020790 · ownership.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: 4,635,659

F1 · kind: This transaction was executed in multiple trades at prices ranging from $27.12 to $27.20. 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 a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife.

SEC source: 0001213900-20-020792 · ownership.xml · nonDerivative · entry 1

Young Kenneth M · CIK 0001365572 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,419

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).

SEC source: 0001213900-20-041441 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,099

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).

SEC source: 0001213900-20-015459 · ownership.xml · nonDerivative · entry 1

ANTIN ROBERT L · CIK 0000901483 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,934

F1 · shares: Represents a restricted stock unit that settles in common stock of the Company and vests in full on the earlier of May 21, 2021, or the Company's next Annual Shareholder Meeting