KELLEHER THOMAS J /ADV 4
4 · B. Riley Financial, Inc. · Filed Mar 6, 2024
Insider Transaction Report
Form 4
KELLEHER THOMAS J /ADV
President
Transactions
- Award
Common Stock
2023-12-29$17.84/sh+1$18→ 95,416 total - Award
Common Stock
2024-03-04+83,086→ 178,502 total
Holdings
- 5,600(indirect: By Spouse)
Common Stock
- 3,405(indirect: By daughter)
Common Stock
- 3,405(indirect: By daughter)
Common Stock
- 891,558(indirect: See note)
Common Stock
- 34,118(indirect: See note)
Common Stock
- 3,405(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 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.
- [F3]Held of record by Thomas J. Kelleher and wife as Trustees for the Kelleher Family Trust.
- [F4]Held by self-directed IRA: Thomas John Kelleher IRA.
- [F5]Held with dispositive power for wife.
- [F6]Held with dispositive power for a daughter.
- [F7]Held with dispositive power for a daughter.
- [F8]Held with dispositive power for a daughter.