KELLEHER THOMAS J /ADV 4
4 · B. Riley Financial, Inc. · Filed Jul 27, 2023
Insider Transaction Report
Form 4
KELLEHER THOMAS J /ADV
President
Transactions
- Award
Common Stock
2023-06-30$39.08/sh+543$21,222→ 95,415 total - Purchase
Common Stock
2023-07-26$55.00/sh+7,272$399,960→ 876,544 total(indirect: See note) - Purchase
Common Stock
2023-07-26$55.00/sh+1,818$99,990→ 34,118 total(indirect: See note)
Holdings
- 5,600(indirect: By Spouse)
Common Stock
- 1,743(indirect: By daughter)
Common Stock
- 1,743(indirect: By daughter)
Common Stock
- 1,743(indirect: By daughter)
Common Stock
Footnotes (8)
- [F1]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).
- [F2]Represents stock purchased as part of public offering of common stock by the issuer.
- [F3]Held by self-directed IRA: Thomas John Kelleher IRA.
- [F4]Held of record by Thomas J. Kelleher and wife as Trustees for the Kelleher Family Trust.
- [F5]Held with dispositive power for a daughter.
- [F6]Held with dispositive power for a daughter.
- [F7]Held with dispositive power for a daughter.
- [F8]Held with dispositive power for a daughter.