B. Riley Financial (RILY) Form 3 B. Riley Financial / Michael LaRocque ownership change

SEC Form 3

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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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

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)

1. Name and Address of Reporting Person^*

ASHER DANIEL

(Last) (First) (Middle)

111 W JACKSON BLVD

20TH FL

(Street)

CHICAGO IL 60604

(City) (State) (Zip)

1. Name and Address of Reporting Person^*

Goldman Fred

(Last) (First) (Middle)

111 W. JACKSON BLVD., SUITE 2000

(Street)

CHICAGO IL 60604

(City) (State) (Zip)

1. Name and Address of Reporting Person^*

LaRocque Michael

(Last) (First) (Middle)

111 W. JACKSON BLVD., SUITE 2000

(Street)

CHICAGO IL 60604

(City) (State) (Zip)

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
	/s/ Daniel Asher	07/12/2016
	/s/ Fred Goldman	07/12/2016
	/s/ Michael LaRocque	07/12/2016
	** Signature of Reporting Person	Date
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