Company: RILYN
Filing Date: 2025-09-19
Form Type: 10-K
Source: 0001464790-25-000011
Chunk: 37

Company: B. Riley Financial, Inc.
Filing Date: 2025-09-19
Form: 10-K
Item: Item 12
Chunk 37
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121

Table of Contents

Item 12. SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT AND RELATED STOCKHOLDER MATTERS

The following table sets forth information concerning the beneficial ownership of the shares of our common stock as of September 18, 2025, by (i) each person we know to be the beneficial owner of 5% or more of the outstanding shares of our common stock (ii) each named executive officer listed in the Summary Compensation Table; (iii) each of our directors; and (iv) all of our executive officers and directors as a group.

Shares Beneficially Owned(2) Name or Group of Beneficial Owners(1)NumberPercentDirectors and Named Executive Officers:Bryant R. Riley(3)6,914,063 22.6 %Thomas J. Kelleher(4)973,409 3.2 %Phillip J. Ahn(5)249,226 *Scott Yessner(6)100,000 *Kenneth Young(7)237,156 *Andrew Moore(8)286,546 *Alan N. Forman123,283 *Robert L. Antin(9)295,495 1.0 %Tammy Brandt6,195 *Robert D’Agostino160,570 *Renée E. LaBran6,734 *Randall E. Paulson318,979 1.0 %Michael J. Sheldon56,677 *Mimi K. Walters10,262 *Executive officers and directors as a group (15 persons):9,787,202 32.0 %(1) Unless otherwise indicated, the business address of each holder is c/o B. Riley Financial, Inc., 11100 Santa Monica Boulevard, Suite 800, Los Angeles, California 90025.(2) Applicable percentage ownership is based on 30,597,066 shares of our common stock outstanding as of September 18, 2025. Beneficial ownership is determined in accordance with the rules of the SEC and is based on voting and investment power with respect to shares, subject to the applicable community property laws. Shares of our common stock subject to options or other contractual rights currently exercisable, or exercisable within 60 days after September 18, 2025, are deemed outstanding for the purpose of computing the percentage ownership of the person holding such options but are not deemed outstanding for computing the percentage ownership