B Riley Financial Inc
For the period ended Dec 31, 2023. Filed Apr 24, 2024.
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FY2023 · Filed Apr 24, 2024
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Item 9B. Other Information
Certain of our officers have made elections to participate in, and are participating in, our employee stock purchase plan and 401(k) plan and have made, and may from time to time make, elections to have shares withheld upon the vesting of restricted stock units to cover withholding taxes, which may be designed to satisfy the affirmative defense conditions of Rule 10b5-1 under the Exchange Act or may constitutenon-Rule 10b5-1 trading arrangements (as defined in Item 408(c) of Regulation S-K).
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