4//SEC Filing
KELLEHER THOMAS J /ADV 4
Accession 0001213900-23-096980
CIK 0001464790other
Filed
Dec 18, 7:00 PM ET
Accepted
Dec 19, 5:00 PM ET
Size
12.2 KB
Accession
0001213900-23-096980
Insider Transaction Report
Form 4
KELLEHER THOMAS J /ADV
President
Transactions
- Purchase
Common Stock
2023-12-15$20.22/sh+20,000$404,392→ 896,544 total(indirect: See note) - Gift
Common Stock
2023-12-15−4,986→ 891,558 total(indirect: See note)
Holdings
- 95,415
Common Stock
- 3,405(indirect: By daughter)
Common Stock
- 3,405(indirect: By daughter)
Common Stock
- 34,118(indirect: See note)
Common Stock
- 3,405(indirect: By daughter)
Common Stock
- 5,600(indirect: By Spouse)
Common Stock
Footnotes (8)
- [F1]These transactions were executed in multiple trades at prices ranging from $20.10 to $20.25. 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.
- [F2]Held of record by Thomas J. Kelleher and wife as Trustees for the Kelleher Family Trust.
- [F3]Represents shares gifted by the reporting person as follows: 1,662 shares each to the accounts of his three daughters.
- [F4]Held by self-directed IRA: Thomas John Kelleher IRA.
- [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.
Documents
Issuer
B. Riley Financial, Inc.
CIK 0001464790
Entity typeother
Related Parties
1- filerCIK 0000216309
Filing Metadata
- Form type
- 4
- Filed
- Dec 18, 7:00 PM ET
- Accepted
- Dec 19, 5:00 PM ET
- Size
- 12.2 KB