SPDR DOW JONES INDL AVERAGE

Ticker: DIA CUSIP: 78467X109 Class: UT SER 1

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

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

Q3 2018
Shares 2,037 Value ($000) $539 Avg Close — Range —
Q2 2018
Shares 10,007 Value ($000) $2,480 Avg Close — Range —
Q1 2018
Shares 6,267 Value ($000) $1,513 Avg Close — Range —
Q4 2017
Shares 19,189 Value ($000) $4,747 Avg Close — Range —
Q3 2017
Shares 26,992 Value ($000) $6,041 Avg Close — Range —
Q2 2017
Shares 2,592 Value ($000) $553 Avg Close — Range —
Q1 2017
Shares 2,686 Value ($000) $554 Avg Close — Range —
Q4 2016
Shares 3,586 Value ($000) $708 Avg Close — Range —
Q3 2016
Shares 3,711 Value ($000) $678 Avg Close — Range —
Q2 2016
Shares 3,796 Value ($000) $679 Avg Close — Range —
Q1 2016
Shares 3,795 Value ($000) $670 Avg Close — Range —
Q4 2015
Shares 4,387 Value ($000) $763 Avg Close — Range —