B Riley Financial: Declaration of Change of Beneficial Ownership – Form 4

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Property Submission

FORM 4

Check this box if you are no longer subject to section 16, the obligations of Form 4 or Form 5 may continue. See Instruction 1(b).

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN THE EFFECTIVE BENEFICIARIES OF THE SHARES Filed under Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940

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1. Name and address of reporting person *

RILEY BRYANTR

2. Name of issuer and stock symbol or trading symbol
B.Riley Financial, Inc. [RILY]

5. Relationship between the reporting person(s) and the issuer
(Check all that apply)

__X__ Director

_____ 10% Owner

_____ Officer (indicate title below)

_____ Other (specify below)

President and Co-CEO /

(Last)

(First)

(Environment)

C/O B. RILEY FINANCIAL, INC., 11100 SANTA MONICA BLVD., SUITE 800

3. Date of first transaction (month/day/year)

(Street)

LOS ANGELES

California

90025

4. In case of modification, date of filing of the original (month/day/year)

6. Individual or joint/group filing (check applicable row)
_X_ Form filed by a reporting person
___ Form filed by more than one declarant

Table I – Non-derivative securities acquired, sold or beneficially owned

1. Title of guarantee

2. Transaction date (month/day/year)

2A. Deemed execution date, if applicable (month/day/year)

3. Transaction code

4. Securities acquired (A) or transferred (D)

5. Amount of securities beneficially owned as a result of the reported transaction(s)

6. Form of ownership: direct (D) or indirect (I)

7. Nature of Indirect Beneficial Ownership

Coded

V

Rising

(A) or (D)

Price

Table II – Beneficial ownership derivative securities (for exampleputs, calls, warrants, options, convertible securities)
(for exampleputs, calls, warrants, options, convertible securities)

1. Title of derivative title

2. Conversion or exercise price of the derivative security

3. Transaction date (month/day/year)

3A. Deemed execution date, if applicable (month/day/year)

4. Transaction code

5. Number of derivative securities acquired (A) or sold (D)

6. Exercise date and expiry date

7. Title and amount of the securities underlying the derivative securities

8. Price of derivative securities

9. Number of derivative securities beneficially owned as a result of reported transactions

10. Form of ownership of derivative securities: direct (D) or indirect (I)

11. Nature of Indirect Beneficial Ownership

Coded

V

(A)

(D)

Exercise date

Expiration date

Title

Amount or number of shares

Reporting owners

Name/address of declaring owner Relationships

Director

10% Owner

Officer

Other

RILEY BRYANTR
C/O B. RILEY FINANCIAL, INC.
11100 BOUL. SANTA MONICA, SUITE 800
LOS ANGELES, CA90025

X

X

President and Co-CEO

Signatures

/s/ Bryant R. Riley

2022-09-14

**Signature of declaring person

Date

Explanation of answers:

If the form is completed by several declarants, see

Section 5(b)(v).

(**) Intentional misrepresentation or omission of facts are federal criminal offenses. See

18 USC 1001 and 15 USC 78ff(a).

(1)

These trades were executed in multiple trades at prices ranging from $47.35 to $47.68. The prices shown above reflect weighted average purchase prices. The Reporting Person agrees to provide upon request to SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and the prices at which transactions were made.

(2)

Bryant R. Riley (the “Reporting Person”) beneficially owns these shares either directly or jointly with his wife.

(3)

These trades were executed in multiple trades at prices ranging from $47.65 to $47.68, in one lot and then split among the four. The prices shown above reflect weighted average purchase prices. The Reporting Person agrees to provide upon request to SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and the prices at which transactions were made.

(4)

The Shares are held for SR, the Declarant’s child, through a custodial account established pursuant to the Uniform Minor Transfer Act (“UTMA”) for which the Declarant serves as depositary.

(5)

The shares are held for CR, the child of the reporting person, through a custodial account established in accordance with UTMA for which the reporting person serves as depository.

(6)

Shares are held for AR, the reporting person’s child, through a custodial account established pursuant to UTMA for which the reporting person serves as depository.

(seven)

Shares are held for ER, the reporting person’s child, through a custodial account established in accordance with UTMA for which the reporting person serves as depository.

(8)

B. Riley Financial, Inc. 401(k) FBO Bryant Riley Profit Sharing Plan was formerly known as “B. Riley & Co., LLC 401(k) FBO Bryant Riley Profit Sharing Plan”.

(9)

The Reporting Person disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein, and this report should not be taken as an admission that the Reporting Person is the beneficial owner of such shares for purposes of this Agreement. section 16 or for any other purpose.

(ten)

Held by the Robert Antin Children Irrevocable Trust Dtd 1/1/01 (the “Trust”). The Reporting Person, as trustee of the Trust, may be deemed to be the beneficial owner of the shares held by the Trust. Note: Submit three copies of this form, one of which must be manually signed. If space is insufficient, See

Instruction 6 for the procedure. Potential individuals who need to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.

Disclaimer B. Riley Financial Inc. published this content on September 14, 2022 and is solely responsible for the information contained therein. Distributed byAudience unedited and unmodified, onSep 14, 2022 6:59:06 PM UTC

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Public now 2022

All the latest from B. RILEY FINANCIAL, INC.

Sales 2021
1,595 million
Net income 2021
445 million
Net debt 2021
289M
PER 2021 ratio
5.89x 2021 performance
2.81% Capitalization
1,376 million
1,376 million
EV / Sales 2020
1.63x EV / Sales 2021
1.72x # of employees
1,406 Floating

54.2%

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