Company: RILYN
Filing Date: 2025-10-22
Form Type: DEF 14A
Source: 0001213900-25-101228
Chunk: 63

Company: B. Riley Financial, Inc.
Filing Date: 2025-10-22
Form: DEF 14A
Chunk 63
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 the B. Riley and Co., LLC 401(k) Profit Sharing Plan FBO Bryant Riley, which we refer to as the Riley profit sharing plan. Mr. Riley pledged as collateral 4,389,553shares in favor of Axos Bank, as approved by our Board of Directors on February 27, 2019, and pursuant to the terms of a Credit Agreement and Pledge Agreement each dated as of March 19, 2019. As disclosed in a Current Report on Form 8 -Kfiled by the Company and a Schedule 13D amendment filed by Mr. Riley on October 30, 2024, in 2023 Mr. Riley pledged an additional 1,414,571 shares for a total of 5,804,124 shares pledged. The business address of each of Mr. Riley, and the Riley profit -sharingplan is 11100 Santa Monica Boulevard, Suite 800, Los Angeles, California 90025. (4)Represents 21,188 of our common shares beneficially owned by Mr. Kelleher, 902,288 of our common shares held of record by Mr. Kelleher and M. Meighan Kelleher as trustees for the Kelleher Family Trust, 34,118 of our common shares held by Mr. Kelleher’s self -directedIRA, Thomas John Kelleher IRA, 5,600 of our common shares held with dispositive power for Mary Meighan Kelleher IRA, 3,405 of our common shares held with dispositive power for Lyndsey Kelleher, 3,405 of our common shares held with dispositive power for Kaitlin Kelleher and 3,405 of our common shares held with dispositive power for Mackenna Kelleher. (5)Mr. Ahn resigned effective as of June 3, 2025. (6)Mr. Yessner joined the Company on June 3, 2025 as Executive Vice President and Chief Financial Officer. (7)Mr. Young resigned effective as of September 20, 2024. (8)Mr. Moore was not re -appointedas an executive officer of the Company, but continues to serve as the Co -ChiefExecutive Officer of B. Riley Securities, Inc. effective as of September 18, 2025. (9)Represents 80,495 of our common shares beneficially owned by Mr. Antin, 200,000shares held