Moore Andrew

SEC source: 0001213900-25-051232 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 324,420

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: 0001013762-25-000738 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 331,769

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: 0001213900-24-049700 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 354,813

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: 0001213900-24-024048 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 359,605

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.

SEC source: 0001213900-24-020544 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 362,565

F2 · 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: 0001213900-24-020544 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 318,055

F1 · shares: 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: 0001213900-23-087668 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 318,054

F1 · kind: The sales reported in this Form 4 were made by a broker, without instruction by the Reporting Person, to satisfy a margin call. As a Section 16 filer, the Reporting Person has not otherwise sold shares of the Issuer's common stock and the Reporting Person intends to continue increasing his investment in the Issuer over time.

F2 · shares: These transactions were executed in multiple trades at prices ranging from $16.72 to $24.14. The prices reported above reflect the weighted average sales prices. The Reporting Person hereby undertakes to provide upon request from the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transactions were effected.

SEC source: 0001213900-23-060305 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 379,663

F2 · date: This amended report is being filed to correct the date of the transaction. Represents stock purchased as part of public offering of common stock by the issuer.

F2 · shares: This amended report is being filed to correct the date of the transaction. Represents stock purchased as part of public offering of common stock by the issuer.

SEC source: 0001213900-23-059876 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 379,663

F2 · shares: Represents stock purchased as part of public offering of common stock by the issuer.

SEC source: 0001213900-23-059876 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 374,663

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

SEC source: 0001213900-23-060305 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 374,663

F1 · shares: 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: 0001213900-23-046826 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 374,120

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: 0001213900-23-043581 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 381,417

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: 0001213900-23-019870 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 385,074

F1 · shares: These transactions were executed in multiple trades at prices ranging from $32.46 to $33.52. The prices reported above reflect the weighted average purchase prices. 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 transactions were effected.

SEC source: 0001213900-23-014912 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 355,462

F1 · shares: These transactions were executed in multiple trades at prices ranging from $36.35 to $37.79. 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: 0001213900-23-015570 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 380,074

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: 0001213900-23-009248 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 281,105

F1 · shares: These transactions were executed in multiple trades at prices ranging from $37.50 to $39.69. 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: 0001213900-23-010290 · ownership.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 85,000 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: 0001213900-23-010290 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 345,462

SEC source: 0001213900-23-010290 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 366,105

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: 0001213900-22-054688 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 261,105

F1 · shares: These transactions were executed in multiple trades at prices ranging from $47.71 to $48.26. 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: 0001213900-22-031185 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 256,105

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: 0001213900-22-029786 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 259,757

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 May 24, 2019 and May 21, 2020.

SEC source: 0001213900-22-029786 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 266,806

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: 0001213900-22-023433 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 244,758

SEC source: 0001213900-21-055493 · ownership.xml · derivative · entry 1

Moore Andrew · CIK 0001746643 · CEO of B. Riley Sec., Inc.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,000

Underlying: Common Stock · 85,000 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 $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: 0001213900-21-047353 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 234,758

SEC source: 0001213900-21-043385 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 229,758

F2 · kind: These transactions were executed in multiple trades at prices ranging from $63.30 to $63.80. 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: 0001213900-21-043385 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 229,427

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: 0001213900-21-030548 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 224,427

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: 0001213900-21-029348 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 202,379

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: 0001213900-21-024859 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 212,734

F1 · kind: This transaction was executed in multiple trades at prices ranging from $67.44 to $67.89. 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: 0001213900-21-010668 · ownership.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,000

Underlying: Common Stock · 85,000 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: 0001213900-20-043130 · 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: 0001213900-20-041448 · 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: 0001213900-20-013463 · ownership.xml · nonDerivative · entry 2

Moore Andrew · CIK 0001746643 · CEO of B. Riley FBR, Inc.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,930

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: 0001213900-20-013463 · ownership.xml · nonDerivative · entry 1

Moore Andrew · CIK 0001746643 · CEO of B. Riley FBR, Inc.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 161,761

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: 0001213900-20-006470 · ownership.xml · nonDerivative · entry 1

Moore Andrew · CIK 0001746643 · CEO of B. Riley FBR, Inc.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,637

F1 · kind: This transaction was executed in multiple trades at prices ranging from $17.645 to $18.38. 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: 0001213900-19-012910 · ownership.xml · derivative · entry 2

Moore Andrew · CIK 0001746643 · CEO of B. Riley FBR, Inc.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires not disclosed

F2 · security: Each performance restricted stock unit (PRSU) represents a contingent right to receive one share of Issuer common stock. The PRSUs will vest upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) or upon a Change in Control (as defined in the 2009 Stock Incentive Plan), provided that such TSR is achieved or Change in Control occurs within three (3) years of the grant date.

F2 · derivative.exercise_price: Each performance restricted stock unit (PRSU) represents a contingent right to receive one share of Issuer common stock. The PRSUs will vest upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) or upon a Change in Control (as defined in the 2009 Stock Incentive Plan), provided that such TSR is achieved or Change in Control occurs within three (3) years of the grant date.

F2 · derivative.exercise_date: Each performance restricted stock unit (PRSU) represents a contingent right to receive one share of Issuer common stock. The PRSUs will vest upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) or upon a Change in Control (as defined in the 2009 Stock Incentive Plan), provided that such TSR is achieved or Change in Control occurs within three (3) years of the grant date.

F2 · derivative.expiration_date: Each performance restricted stock unit (PRSU) represents a contingent right to receive one share of Issuer common stock. The PRSUs will vest upon the Issuer achieving Total Shareholder Return (TSR) of $35.00 (including reinvestment of dividends) or upon a Change in Control (as defined in the 2009 Stock Incentive Plan), provided that such TSR is achieved or Change in Control occurs within three (3) years of the grant date.

SEC source: 0001213900-19-012910 · ownership.xml · nonDerivative · entry 1

Moore Andrew · CIK 0001746643 · CEO of B. Riley FBR, Inc.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,637

F1 · kind: Represents shares acquired under the provisions of the B. Riley Financial, Inc. 2018 Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c).

SEC source: 0001615774-19-008611 · s118580_form4.xml · nonDerivative · entry 1

Moore Andrew · CIK 0001746643 · CEO of B. Riley FBR, Inc.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,439

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

SEC source: 0001615774-19-004074 · s116736_form4.xml · nonDerivative · entry 2

Moore Andrew · CIK 0001746643 · CEO of B. Riley FBR, Inc.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,916

SEC source: 0001615774-19-004074 · s116736_form4.xml · nonDerivative · entry 1

Moore Andrew · CIK 0001746643 · CEO of B. Riley FBR, Inc.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,916

F1 · shares: Represents shares acquired under the provisions of the B. Riley Financial, Inc. 2018 Employee Stock Purchase Plan on December 31, 2018 in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c).