PIMCO ETF TR

Ticker: SMMU CUSIP: 72201R874 Class: SHTRM MUN BD ACT

B. Riley Financial, Inc.'s Holding History (CIK: 0001464790)

Note: Option positions (PUT/CALL) are excluded.

Q3 2017

Shares 3,972 Value ($000) $200 Avg Close — Range —

Q3 2016

Shares 3,972 Value ($000) $200 Avg Close — Range —

Q2 2016

Shares 3,972 Value ($000) $201 Avg Close — Range —

Q1 2016

Shares 3,972 Value ($000) $201 Avg Close — Range —

Period	Shares	Value ($000)	Average Close	Price Range
Q3 2017	3,972	$200	—	—
Q3 2016	3,972	$200	—	—
Q2 2016	3,972	$201	—	—
Q1 2016	3,972	$201	—	—