401k Plan data: B. RILEY & CO., LLC 401(K) PROFIT SHARING PLAN plan

B. RILEY & CO., LLC 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	B. RILEY & CO., LLC 401(K) PROFIT SHARING PLAN
Plan identification number	001

B. RILEY & CO., LLC 401(K) PROFIT SHARING PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Partial participant-directed account plan - Participants have the opportunity to direct the investment of a portion of the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Participant-directed brokerage accounts provided as an investment option under the plan.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

B. RILEY & CO., LLC has sponsored the creation of one or more 401k plans.

Company Name: B. RILEY & CO., LLC

Employer identification number (EIN): 954592938

NAIC Classification: 523120
NAIC Description: Securities Brokerage

Additional information about B. RILEY & CO., LLC

Jurisdiction of Incorporation: State of Delaware Division of Corporations

Incorporation Date:

Company Identification Number: 4344014

More information about B. RILEY & CO., LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan B. RILEY & CO., LLC 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2014-01-01 MICHAEL MCCOY
001 2013-01-01 MICHAEL MCCOY

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2014-01-01	MICHAEL MCCOY
001	2013-01-01	MICHAEL MCCOY

Plan Statistics for B. RILEY & CO., LLC 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for B. RILEY & CO., LLC 401(K) PROFIT SHARING PLAN

Measure Date Value
2014: B. RILEY & CO., LLC 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 86
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 85
Number of retired or separated participants receiving benefits 2014-01-01 1
Number of other retired or separated participants entitled to future benefits 2014-01-01 15
Total of all active and inactive participants 2014-01-01 101
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 101
Number of participants with account balances 2014-01-01 70
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 2
2013: B. RILEY & CO., LLC 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 75
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 85
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 12
Total of all active and inactive participants 2013-01-01 97
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 97
Number of participants with account balances 2013-01-01 54
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0

Measure	Date	Value
2014: B. RILEY & CO., LLC 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	86
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	85
Number of retired or separated participants receiving benefits	2014-01-01	1
Number of other retired or separated participants entitled to future benefits	2014-01-01	15
Total of all active and inactive participants	2014-01-01	101
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	101
Number of participants with account balances	2014-01-01	70
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	2
2013: B. RILEY & CO., LLC 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	75
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	85
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	12
Total of all active and inactive participants	2013-01-01	97
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	97
Number of participants with account balances	2013-01-01	54
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0

Financial Data on B. RILEY & CO., LLC 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2014 : B. RILEY & CO., LLC 401(K) PROFIT SHARING PLAN 2014 401k financial data
Transfers to/from the plan	2014-12-31	$0
Total plan liabilities at beginning of year	2014-12-31	$0
Total income from all sources	2014-12-31	$1,186,210
Expenses. Total of all expenses incurred	2014-12-31	$80,613
Benefits paid (including direct rollovers)	2014-12-31	$73,292
Total plan assets at end of year	2014-12-31	$7,356,943
Total plan assets at beginning of year	2014-12-31	$6,251,346
Value of fidelity bond covering the plan	2014-12-31	$950,000
Total contributions received or receivable from participants	2014-12-31	$540,554
Expenses. Other expenses not covered elsewhere	2014-12-31	$7,321
Contributions received from other sources (not participants or employers)	2014-12-31	$61,623
Other income received	2014-12-31	$584,033
Noncash contributions received	2014-12-31	$0
Net income (gross income less expenses)	2014-12-31	$1,105,597
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$7,356,943
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$6,251,346
Assets. Value of participant loans	2014-12-31	$39,661
Assets. Value of assets in partnership/joint-venture interests	2014-12-31	$150,000
Total contributions received or receivable from employer(s)	2014-12-31	$0
Value of certain deemed distributions of participant loans	2014-12-31	$0
Value of corrective distributions	2014-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2014-12-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
2013 : B. RILEY & CO., LLC 401(K) PROFIT SHARING PLAN 2013 401k financial data
Transfers to/from the plan	2013-12-31	$0
Total plan liabilities at end of year	2013-12-31	$0
Total plan liabilities at beginning of year	2013-12-31	$0
Total income from all sources	2013-12-31	$1,764,874
Expenses. Total of all expenses incurred	2013-12-31	$100,232
Benefits paid (including direct rollovers)	2013-12-31	$95,369
Total plan assets at end of year	2013-12-31	$6,251,346
Total plan assets at beginning of year	2013-12-31	$4,586,704
Value of fidelity bond covering the plan	2013-12-31	$950,000
Total contributions received or receivable from participants	2013-12-31	$458,142
Assets. Value of loans (other than to participants)	2013-12-31	$204,876
Expenses. Other expenses not covered elsewhere	2013-12-31	$4,863
Contributions received from other sources (not participants or employers)	2013-12-31	$12,786
Other income received	2013-12-31	$1,293,946
Noncash contributions received	2013-12-31	$0
Net income (gross income less expenses)	2013-12-31	$1,664,642
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$6,251,346
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$4,586,704
Assets. Value of participant loans	2013-12-31	$37,978
Assets. Value of assets in partnership/joint-venture interests	2013-12-31	$150,000
Total contributions received or receivable from employer(s)	2013-12-31	$0
Value of certain deemed distributions of participant loans	2013-12-31	$0
Value of corrective distributions	2013-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0

Form 5500 Responses for B. RILEY & CO., LLC 401(K) PROFIT SHARING PLAN

2014: B. RILEY & CO., LLC 401(K) PROFIT SHARING PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: B. RILEY & CO., LLC 401(K) PROFIT SHARING PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	B. RILEY & CO., LLC
Employer identification number (EIN):	954592938
NAIC Classification:	523120
NAIC Description:	Securities Brokerage

Jurisdiction of Incorporation:	State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number:	4344014