401k Plan data: B. RILEY FINANCIAL, INC. 401(K) PROFIT SHARING PLAN plan

B. RILEY FINANCIAL, INC. 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	B. RILEY FINANCIAL, INC. 401(K) PROFIT SHARING PLAN
Plan identification number	001

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

Company Name: B. RILEY & COMPANY, LLC

Employer identification number (EIN): 260673644

NAIC Classification: 523120
NAIC Description: Securities Brokerage

Form 5500 Filing Information

Submission information for form 5500 for 401k plan B. RILEY FINANCIAL, INC. 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2015-01-01 MIKE MCCOY
001 2012-01-01 MICHAEL MCCOY
001 2011-01-01 MICHAEL MCCOY
001 2009-01-01 MICHAEL MCCOY
001 2009-01-01 MICHAEL MCCOY

Plan id#	Filing Submission Date	Name of Administrator
001	2015-01-01	MIKE MCCOY
001	2012-01-01	MICHAEL MCCOY
001	2011-01-01	MICHAEL MCCOY
001	2009-01-01	MICHAEL MCCOY
001	2009-01-01	MICHAEL MCCOY

Plan Statistics for B. RILEY FINANCIAL, INC. 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for B. RILEY FINANCIAL, INC. 401(K) PROFIT SHARING PLAN

Measure Date Value
2015: B. RILEY FINANCIAL, INC. 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 101
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 213
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 43
Total of all active and inactive participants 2015-01-01 256
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 256
Number of participants with account balances 2015-01-01 167
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2012: B. RILEY FINANCIAL, INC. 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 78
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 64
Number of retired or separated participants receiving benefits 2012-01-01 1
Number of other retired or separated participants entitled to future benefits 2012-01-01 0
Total of all active and inactive participants 2012-01-01 65
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 65
Number of participants with account balances 2012-01-01 46
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 1
2011: B. RILEY FINANCIAL, INC. 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 60
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 63
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 9
Total of all active and inactive participants 2011-01-01 72
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 72
Number of participants with account balances 2011-01-01 45
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: B. RILEY FINANCIAL, INC. 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 60
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 46
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 18
Total of all active and inactive participants 2009-01-01 64
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 64
Number of participants with account balances 2009-01-01 57
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2015: B. RILEY FINANCIAL, INC. 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	101
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	213
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	43
Total of all active and inactive participants	2015-01-01	256
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	256
Number of participants with account balances	2015-01-01	167
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2012: B. RILEY FINANCIAL, INC. 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	78
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	64
Number of retired or separated participants receiving benefits	2012-01-01	1
Number of other retired or separated participants entitled to future benefits	2012-01-01	0
Total of all active and inactive participants	2012-01-01	65
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	65
Number of participants with account balances	2012-01-01	46
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	1
2011: B. RILEY FINANCIAL, INC. 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	60
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	63
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	9
Total of all active and inactive participants	2011-01-01	72
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	72
Number of participants with account balances	2011-01-01	45
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: B. RILEY FINANCIAL, INC. 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	60
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	46
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	18
Total of all active and inactive participants	2009-01-01	64
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	64
Number of participants with account balances	2009-01-01	57
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on B. RILEY FINANCIAL, INC. 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2015 : B. RILEY FINANCIAL, INC. 401(K) PROFIT SHARING PLAN 2015 401k financial data
Transfers to/from the plan	2015-12-31	$8,325,557
Total plan liabilities at end of year	2015-12-31	$0
Total plan liabilities at beginning of year	2015-12-31	$0
Total income from all sources	2015-12-31	$1,213,023
Expenses. Total of all expenses incurred	2015-12-31	$1,926,117
Benefits paid (including direct rollovers)	2015-12-31	$1,902,730
Total plan assets at end of year	2015-12-31	$14,969,406
Total plan assets at beginning of year	2015-12-31	$7,356,943
Value of fidelity bond covering the plan	2015-12-31	$950,000
Total contributions received or receivable from participants	2015-12-31	$1,369,049
Expenses. Other expenses not covered elsewhere	2015-12-31	$0
Contributions received from other sources (not participants or employers)	2015-12-31	$323,115
Other income received	2015-12-31	$-479,141
Noncash contributions received	2015-12-31	$0
Net income (gross income less expenses)	2015-12-31	$-713,094
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$14,969,406
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$7,356,943
Assets. Value of participant loans	2015-12-31	$97,229
Assets. Value of assets in partnership/joint-venture interests	2015-12-31	$150,000
Total contributions received or receivable from employer(s)	2015-12-31	$0
Value of certain deemed distributions of participant loans	2015-12-31	$0
Value of corrective distributions	2015-12-31	$1,135
Expenses. Administrative service providers (salaries,fees and commissions)	2015-12-31	$22,252
2012 : B. RILEY FINANCIAL, INC. 401(K) PROFIT SHARING PLAN 2012 401k financial data
Transfers to/from the plan	2012-12-31	$0
Total plan liabilities at end of year	2012-12-31	$0
Total plan liabilities at beginning of year	2012-12-31	$0
Total income from all sources	2012-12-31	$1,101,584
Expenses. Total of all expenses incurred	2012-12-31	$393,078
Benefits paid (including direct rollovers)	2012-12-31	$386,295
Total plan assets at end of year	2012-12-31	$4,586,704
Total plan assets at beginning of year	2012-12-31	$3,878,198
Value of fidelity bond covering the plan	2012-12-31	$400,000
Total contributions received or receivable from participants	2012-12-31	$398,605
Assets. Value of loans (other than to participants)	2012-12-31	$600,000
Expenses. Other expenses not covered elsewhere	2012-12-31	$6,783
Contributions received from other sources (not participants or employers)	2012-12-31	$0
Other income received	2012-12-31	$702,979
Noncash contributions received	2012-12-31	$0
Net income (gross income less expenses)	2012-12-31	$708,506
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$4,586,704
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$3,878,198
Assets. Value of participant loans	2012-12-31	$38,101
Assets. Value of assets in partnership/joint-venture interests	2012-12-31	$156,756
Total contributions received or receivable from employer(s)	2012-12-31	$0
Value of certain deemed distributions of participant loans	2012-12-31	$0
Value of corrective distributions	2012-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
2011 : B. RILEY FINANCIAL, INC. 401(K) PROFIT SHARING PLAN 2011 401k financial data
Total plan liabilities at end of year	2011-12-31	$0
Total plan liabilities at beginning of year	2011-12-31	$0
Total income from all sources	2011-12-31	$604,426
Expenses. Total of all expenses incurred	2011-12-31	$515,497
Benefits paid (including direct rollovers)	2011-12-31	$515,181
Total plan assets at end of year	2011-12-31	$3,878,198
Total plan assets at beginning of year	2011-12-31	$3,789,269
Value of fidelity bond covering the plan	2011-12-31	$700,000
Total contributions received or receivable from participants	2011-12-31	$349,488
Assets. Value of loans (other than to participants)	2011-12-31	$6,756
Expenses. Other expenses not covered elsewhere	2011-12-31	$316
Contributions received from other sources (not participants or employers)	2011-12-31	$625,422
Other income received	2011-12-31	$-370,484
Net income (gross income less expenses)	2011-12-31	$88,929
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$3,878,198
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$3,789,269
Assets. Value of participant loans	2011-12-31	$63,594
Assets. Value of assets in partnership/joint-venture interests	2011-12-31	$250,000
Assets. Value of real-estate (other than employer real property)	2011-12-31	$150,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : B. RILEY FINANCIAL, INC. 401(K) PROFIT SHARING PLAN 2010 401k financial data
Total plan liabilities at end of year	2010-12-31	$0
Total plan liabilities at beginning of year	2010-12-31	$0
Total income from all sources	2010-12-31	$1,281,361
Expenses. Total of all expenses incurred	2010-12-31	$63,865
Benefits paid (including direct rollovers)	2010-12-31	$63,835
Total plan assets at end of year	2010-12-31	$3,789,269
Total plan assets at beginning of year	2010-12-31	$2,571,773
Value of fidelity bond covering the plan	2010-12-31	$400,000
Total contributions received or receivable from participants	2010-12-31	$308,991
Assets. Value of loans (other than to participants)	2010-12-31	$106,756
Expenses. Other expenses not covered elsewhere	2010-12-31	$30
Other income received	2010-12-31	$972,370
Net income (gross income less expenses)	2010-12-31	$1,217,496
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$3,789,269
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$2,571,773
Assets. Value of participant loans	2010-12-31	$57,292
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
2009 : B. RILEY FINANCIAL, INC. 401(K) PROFIT SHARING PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for B. RILEY FINANCIAL, INC. 401(K) PROFIT SHARING PLAN

2015: B. RILEY FINANCIAL, INC. 401(K) PROFIT SHARING PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2012: B. RILEY FINANCIAL, INC. 401(K) PROFIT SHARING PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: B. RILEY FINANCIAL, INC. 401(K) PROFIT SHARING PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: B. RILEY FINANCIAL, INC. 401(K) PROFIT SHARING PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	Yes
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	B. RILEY & COMPANY, LLC
Employer identification number (EIN):	260673644
NAIC Classification:	523120
NAIC Description:	Securities Brokerage