Forman Alan N

SEC source: 0001213900-26-074256 · ownership.xml · nonDerivative · entry 1

Forman Alan N · CIK 0001490907 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,974

F1 · shares: Represents shares withheld by the Company and remitted on behalf of the Reporting Person for payment of taxes in connection with the accelerated vesting of shares from Restricted Stock Units granted on March 4, 2024.

SEC source: 0001213900-26-057748 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,827

F2 · price: The sales price reported herein is a weighted average price. These shares were sold in multiple lots at prices ranging from $8.40 to $9.26 per share, in open market transactions. Reporting Party agrees to provide details of the individual transactions to the SEC upon request.

SEC source: 0001213900-26-057748 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 117,272

F1 · price: The sales price reported herein is a weighted average price. These shares were sold in multiple lots at prices ranging from $8.45 to $8.62 per share, in open market transactions. Reporting Party agrees to provide details of the individual transactions to the SEC upon request.

SEC source: 0001213900-26-044179 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 137,827

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 February 24, 2023 and March 4, 2024.

SEC source: 0001213900-25-051229 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 141,568

F1 · shares: Represents the cash settlement on June 2, 2025 of restricted stock units (RSUs) granted on May 24, 2022 under the B. Riley Financial, Inc. 2021 Stock Incentive Plan. Each RSU was settled for $3.05, the closing price per share of common stock of the Company on May 30, 2025.

SEC source: 0001013762-25-000735 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 142,941

F1 · shares: Represents the cash settlement on March 14, 2025 of restricted stock units (RSUs) granted on each of February 24, 2023 and March 4, 2024 under the B. Riley Financial, Inc. 2021 Stock Incentive Plan. Each RSU was settled for $4.16, the closing price per share of common stock of the Company on March 13, 2025

SEC source: 0001213900-24-049706 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 153,317

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 31, 2021 and May 24, 2022.

SEC source: 0001213900-24-020543 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 154,305

F1 · shares: Represents a restricted stock unit award that settles in common stock of the Company and vests in three equal installments on March 15, 2025, March 15, 2026 and March 15, 2027.

SEC source: 0001213900-23-046821 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 130,566

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 28, 2021 and May 24, 2022.

SEC source: 0001213900-23-043582 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 131,970

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 21, 2020.

SEC source: 0001213900-23-015566 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,323

F1 · shares: Represents a restricted stock unit award that settles in common stock of the Company and vests in three equal installments on March 15, 2024, March 15, 2025 and March 15, 2026.

SEC source: 0001213900-23-010288 · 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 · 30,000 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 following the Issuer achieving a certain Total Shareholder Return within three (3) years of the grant date.

F1 · derivative.exercise_date: Each performance restricted stock unit represented the right to receive a share of Common Stock following the Issuer achieving a certain Total Shareholder Return within three (3) years of the grant date.

F1 · derivative.expiration_date: Each performance restricted stock unit represented the right to receive a share of Common Stock following the Issuer achieving a certain Total Shareholder Return within three (3) years of the grant date.

SEC source: 0001213900-23-010288 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,939

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 following the Issuer achieving a certain Total Shareholder Return within three (3) years of the grant date.

F1 · price: Each performance restricted stock unit represented the right to receive a share of Common Stock following the Issuer achieving a certain Total Shareholder Return within three (3) years of the grant date.

SEC source: 0001213900-22-031184 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,939

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 28, 2021.

SEC source: 0001213900-22-029792 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,642

F2 · shares: Represents shares withheld by the Company and remitted on behalf of the Reporting Person for payment of taxes in connection with the vesting of shares from Restricted Stock Units granted on May 24, 2019 and May 21, 2020.

SEC source: 0001213900-22-029792 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,178

F1 · shares: Represents a restricted stock unit that settles in common stock of the Company and vests in three equal installments on June 2, 2023, June 2, 2024 and June 2, 2025.

SEC source: 0001213900-21-055496 · ownership.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,089

Underlying: Common Stock · 17,089 shares

Expires not disclosed

F1 · security: Each performance restricted stock unit (PRSU) represents a contingent right to receive one share of Issuer common stock. The PRSUs will vest upon the Issuer achieving Adjusted Stock Price Hurdle of $135.00 (including reinvestment of dividends), but not before February 28, 2024, or upon a Change in Control (as defined in the 2021 Stock Incentive Plan), provided that such Adjusted Stock Price Hurdle is achieved, or Change in Control occurs within three (3) years of the grant date and the employee continues to be employed on the vesting date.

F1 · derivative.exercise_price: Each performance restricted stock unit (PRSU) represents a contingent right to receive one share of Issuer common stock. The PRSUs will vest upon the Issuer achieving Adjusted Stock Price Hurdle of $135.00 (including reinvestment of dividends), but not before February 28, 2024, or upon a Change in Control (as defined in the 2021 Stock Incentive Plan), provided that such Adjusted Stock Price Hurdle is achieved, or Change in Control occurs within three (3) years of the grant date and the employee continues to be employed on the vesting date.

F1 · derivative.exercise_date: Each performance restricted stock unit (PRSU) represents a contingent right to receive one share of Issuer common stock. The PRSUs will vest upon the Issuer achieving Adjusted Stock Price Hurdle of $135.00 (including reinvestment of dividends), but not before February 28, 2024, or upon a Change in Control (as defined in the 2021 Stock Incentive Plan), provided that such Adjusted Stock Price Hurdle is achieved, or Change in Control occurs within three (3) years of the grant date and the employee continues to be employed on the vesting date.

F1 · derivative.expiration_date: Each performance restricted stock unit (PRSU) represents a contingent right to receive one share of Issuer common stock. The PRSUs will vest upon the Issuer achieving Adjusted Stock Price Hurdle of $135.00 (including reinvestment of dividends), but not before February 28, 2024, or upon a Change in Control (as defined in the 2021 Stock Incentive Plan), provided that such Adjusted Stock Price Hurdle is achieved, or Change in Control occurs within three (3) years of the grant date and the employee continues to be employed on the vesting date.

SEC source: 0001213900-21-030545 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,059

F1 · shares: Represents a restricted stock unit that settles in common stock of the Company and vests in three equal installments on June 2, 2022, June 2, 2023 and June 2, 2024.

SEC source: 0001213900-21-029347 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,940

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 June 13, 2018, May 24, 2019 and May 21, 2020.

SEC source: 0001213900-21-010667 · ownership.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires not disclosed

F1 · security: Each performance restricted stock unit (PRSU) represents a contingent right to receive one share of Issuer common stock. The PRSUs will vest upon the Issuer achieving Adjusted Stock Price Hurdle of $76.90 (including reinvestment of dividends) or upon a Change in Control (as defined in the 2009 Stock Incentive Plan), provided that such Adjusted Stock Price Hurdle is achieved or Change in Control occurs within three (3) years of the grant date.

F1 · derivative.exercise_price: Each performance restricted stock unit (PRSU) represents a contingent right to receive one share of Issuer common stock. The PRSUs will vest upon the Issuer achieving Adjusted Stock Price Hurdle of $76.90 (including reinvestment of dividends) or upon a Change in Control (as defined in the 2009 Stock Incentive Plan), provided that such Adjusted Stock Price Hurdle is achieved or Change in Control occurs within three (3) years of the grant date.

F1 · derivative.exercise_date: Each performance restricted stock unit (PRSU) represents a contingent right to receive one share of Issuer common stock. The PRSUs will vest upon the Issuer achieving Adjusted Stock Price Hurdle of $76.90 (including reinvestment of dividends) or upon a Change in Control (as defined in the 2009 Stock Incentive Plan), provided that such Adjusted Stock Price Hurdle is achieved or Change in Control occurs within three (3) years of the grant date.

F1 · derivative.expiration_date: Each performance restricted stock unit (PRSU) represents a contingent right to receive one share of Issuer common stock. The PRSUs will vest upon the Issuer achieving Adjusted Stock Price Hurdle of $76.90 (including reinvestment of dividends) or upon a Change in Control (as defined in the 2009 Stock Incentive Plan), provided that such Adjusted Stock Price Hurdle is achieved or Change in Control occurs within three (3) years of the grant date.

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: 0001213900-20-041459 · 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: 0001213900-20-041632 · 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: 0001213900-20-013462 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,757

F2 · shares: Represents shares withheld by the Company and remitted on behalf of the Reporting Person for payment of taxes in connection with the vesting of shares from Restricted Stock Units granted on June 13, 2017, June 13, 2018 and May 24, 2019.

SEC source: 0001213900-20-013462 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,414

F1 · shares: Represents a restricted stock unit that settles in common stock of the Company and vests in three equal installments on May 24, 2021, May 24, 2022 and May 24, 2023.

SEC source: 0001213900-20-006214 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,587

F1 · kind: This transaction was executed in multiple trades at prices ranging from $20.00 to $20.43. 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: 0001213900-19-012907 · ownership.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires not disclosed

F1 · security: Each performance restricted stock unit (PRSU) represents a contingent right to receive one share of Issuer common stock. The PRSUs will vest upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) or upon a Change in Control (as defined in the 2009 Stock Incentive Plan), provided that such TSR is achieved or Change in Control occurs within three (3) years of the grant date.

F1 · derivative.exercise_price: Each performance restricted stock unit (PRSU) represents a contingent right to receive one share of Issuer common stock. The PRSUs will vest upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) or upon a Change in Control (as defined in the 2009 Stock Incentive Plan), provided that such TSR is achieved or Change in Control occurs within three (3) years of the grant date.

F1 · derivative.exercise_date: Each performance restricted stock unit (PRSU) represents a contingent right to receive one share of Issuer common stock. The PRSUs will vest upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) or upon a Change in Control (as defined in the 2009 Stock Incentive Plan), provided that such TSR is achieved or Change in Control occurs within three (3) years of the grant date.

F1 · derivative.expiration_date: Each performance restricted stock unit (PRSU) represents a contingent right to receive one share of Issuer common stock. The PRSUs will vest upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) or upon a Change in Control (as defined in the 2009 Stock Incentive Plan), provided that such TSR is achieved or Change in Control occurs within three (3) years of the grant date.

SEC source: 0001615774-19-008610 · s118579_form4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,587

F2 · shares: Represents shares withheld by the Company and remitted on behalf of the Reporting Person for payment of taxes in connection with the vesting of shares from Restricted Stock Units granted on May 24, 2016, June 13, 2017 and June 13, 2018.

SEC source: 0001615774-19-008610 · s118579_form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,480

F1 · shares: Represents a restricted stock unit that settles in common stock of the Company and vests in three equal installments on May 22, 2020, May 24, 2021 and May 24, 2022.

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: 0001615774-18-004454 · 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: 0001615774-17-003200 · 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: 0001615774-17-002768 · 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: 0001615774-16-008899 · 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.