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Form 3 B. Riley Financial, Inc. For: May 19 Filed by: LaRocque Michael

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July 12, 2016 12:01 PM EDT
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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OMB Number: 3235-0104
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hours per response: 0.5
1. Name and Address of Reporting Person *
DJ Fund Investments, LLC - Series E
(Last) (First) (Middle)
111 W. JACKSON BLVD.
STE 2000
(Street)
CHICAGO IL 60604
(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
05/19/2014 		3. Issuer Name and Ticker or Trading Symbol
B. Riley Financial, Inc. [ RILY ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock with a par value of $0.0001 per share 2,000,000
D (1) (2)
 
Common Stock with a par value of $0.0001 per share 100,000
D (2) (3)
 
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. These securities are held of record by DJ Fund Investments, LLC - Series E ("DJ Fund"). Fred Goldman ("Goldman") and Michael LaRocque ("LaRocque"), both natural persons, are managers of DJ Fund. Daniel Asher ("Asher"), a natural person, is a member and holder of less than 50% of the membership interests of DJ Fund. DJ Fund, Goldman, LaRocque and Asher have entered into an informal unwritten agreement that provides Asher with investment and voting power over the securities. By virtue of these relationships, Goldman, LaRocque and Asher may be deemed to have voting and investment power over the securities held by DJ Fund and as a result may be deemed to have beneficial ownership over such securities. Both Goldman and LaRoque disclaim beneficial ownership of the securities.
2. This Form 3 is being jointly filed by DJ Fund, Goldman, LaRocque and Asher (collectively, the "Reporting Persons"). The filing of this statement shall not be construed as an admission that any of the Reporting Persons is the beneficial owner of any securities covered by the statement for purposes of Section 16 of the Securities Exchange Act of 1934, as amended or for any other purpose, except to the extent of its or his pecuniary interest therein, if any, or actual ownership of such securities, if any.
3. These securities were purchased on May 5, 2016 through, and are held of record in, a brokerage account at Equitec Proprietary Market, LLC in Asher's name.
Remarks:
Fred Goldman and Michael LaRocque disclaim beneficial ownership of the securities, except to the extent of their pecuniary interest therein, if any, or actual ownership of such securities, if any.
DJ Fund Investments, LLC - Series E By Its Manager, Fred Goldman /s/ Fred Goldman 07/12/2016
** Signature of Reporting Person Date
/s/ Daniel Asher 07/12/2016
** Signature of Reporting Person Date
/s/ Fred Goldman 07/12/2016
** Signature of Reporting Person Date
/s/ Michael LaRocque 07/12/2016
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

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