Основная статистика
| LEI | 529900LRQ75IKIPK4990 |
| CIK | 1464790 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to B. Riley Financial, Inc. - Preferred Stock
SEC Filings (Chronological Order)
На этой странице представлен полный хронологический список документов SEC, за исключением документов о собственности, которые мы предоставляем в других местах.
| August 26, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 20, 2025 B. Riley FinanCIAl, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction of incorporation) (Commissio |
|
| August 26, 2025 |
Exhibit 10.1 Execution Version REVOLVING CREDIT, RECEIVABLES PURCHASE, SECURITY AND GUARANTY AGREEMENT FGI WORLDWIDE LLC (AS LENDER AND AS AGENT) WITH TARGUS INTERNATIONAL LLC, TARGUS US LLC, HYPER PRODUCTS INC., AND TARGUS (CANADA) LTD. (AS BORROWERS) TIGER US HOLDINGS INC. AND TARGUS US NEWCO INC. (AS GUARANTORS) August 20, 2025 TABLE OF CONTENTS Page I. DEFINITIONS. 1 1.1. Accounting Terms 1 1. |
|
| August 22, 2025 |
B. Riley Financial Announces Notification of Delinquency with Nasdaq Exhibit 99.1 FOR IMMEDIATE RELEASE B. Riley Financial Announces Notification of Delinquency with Nasdaq LOS ANGELES, August 22, 2025 – B. Riley Financial, Inc. (Nasdaq: RILY) (the “Company”) today announced it received an expected delinquency notification letter from Nasdaq on August 20, 2025, which indicated that the Company was not in compliance with Nasdaq Listing Rule 5250(c)(1) as a result of |
|
| August 22, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 20, 2025 B. Riley FinanCIAl, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction of incorporation) (Commissio |
|
| August 13, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 7, 2025 B. RILEY FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction of incorporation) (Commission |
|
| August 13, 2025 |
B. Riley Securities Provides Post-Carve Out Business Update and Financial Highlights Exhibit 99.1 www.brileysecurities.com B. Riley Securities Provides Post-Carve Out Business Update and Financial Highlights ARLINGTON, VA, August 7, 2025 – B. Riley Securities Holdings, Inc. (“B. Riley Securities,” “BRS” or the “Company”), a leading middle market investment bank, today provided a business update and certain preliminary financial results for its first full quarter since the previous |
|
| August 13, 2025 |
Exhibit 99.2 B. Riley Financial Shares Preliminary Fourth Quarter and Full Year 2024 Results and Financial Estimates and Business Update for First Half 2025 First Half 2025 Net Income Available to Common Shareholders Expected to be in the Range of $125.0 Million to $145.0 Million, or $4.08 to $4.74 Diluted Net Income per Common Share As of June 30, 2025, Estimated Cash of $268 Million, Total Debt |
|
| August 12, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING Commission File Number: 001-37503 CUSIP: 05580M 108 (Check One): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-CEN ☐ Form N-CSR For Period Ended: June 30, 2025 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Tran |
|
| July 3, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 27, 2025 B. RILEY FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction of incorporation) (Commission |
|
| July 3, 2025 |
Exhibit 99.1 FOR IMMEDIATE RELEASE B. Riley Financial Announces the $117.8 Million Sale of GlassRatner to TorQuest Partners Company Expects to Record Gain on Sale of Approximately $66 Million in Q2 Financial Results LOS ANGELES, June 27, 2025 – B. Riley Financial, Inc. (NASDAQ: RILY) (“BRF” or the “Company”), a diversified financial services company, today announced it has sold its advisory servic |
|
| July 3, 2025 |
Exhibit 2.1 CONFIDENTIAL Execution Version Equity Purchase Agreement by and among B. Riley Advisory Holdings, LLC, as the GR Seller, and B. Riley Advisory US, Inc., as the Farber Seller, and B. Riley Financial, Inc. as the Parent, and Gallop U.S. Acquireco Inc., as the GR Buyer and 1001243443 Ontario Inc., as the Farber Buyer. Dated as of June 27, 2025 Table of Contents Page ARTICLE 1 DEFINITIONS |
|
| June 6, 2025 |
Exhibit 99.1 B. Riley Financial Granted Extension from Nasdaq Regarding Listing Rules Announces Notification of Additional Delinquency with Nasdaq for Late Filing of Annual Report on Form 10-K for the period ended December 31, 2024 and its Quarterly Report on Form 10-Q for the period ended March 31, 2025 Expects to Return to Normal Filing Cadence by Fall 2025 LOS ANGELES, June 6, 2025 – B. Riley F |
|
| June 6, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 4, 2025 B. RILEY FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction of incorporation) (Commission F |
|
| May 28, 2025 |
Exhibit 10.2 REGISTRATION RIGHTS AGREEMENT This REGISTRATION RIGHTS AGREEMENT, dated as of May 21, 2025 (this “Agreement”), is made between B. Riley Financial, Inc., a Delaware corporation (the “Company”), and each of the persons whose name appears on the signature pages hereto (collectively, the “Initial Holders” and, together with any holder pursuant to a Joinder Agreement (as defined below), th |
|
| May 28, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 21, 2025 B. RILEY FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction of incorporation) (Commission F |
|
| May 28, 2025 |
B. Riley Financial Announces Notification of Delinquency with Nasdaq Exhibit 99.1 B. Riley Financial Announces Notification of Delinquency with Nasdaq LOS ANGELES, May 28, 2025 – B. Riley Financial, Inc. (Nasdaq: RILY) (“BRF” or the "Company") today announced it received an expected delinquency notification letter from Nasdaq on May 21, 2025, which indicated that the Company was not in compliance with Nasdaq Listing Rule 5250(c)(1) as a result of the delayed filing |
|
| May 28, 2025 |
Exhibit 10.1 WARRANT THIS WARRANT AND THE COMMON STOCK, IF ANY, ISSUABLE UPON EXERCISE OF THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE U.S. SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR ANY NON-U.S. OR STATE SECURITIES LAWS, AND MAY NOT BE OFFERED, SOLD, PLEDGED OR OTHERWISE TRANSFERRED EXCEPT IN ACCORDANCE WITH THE FOLLOWING SENTENCE. BY ITS ACQUISITION HEREOF OR OF A BENEFICIA |
|
| May 22, 2025 |
B. Riley Securities Provides Business and Financial Update Following Carve-Out Transaction Exhibit 99.2 B. Riley Securities Provides Business and Financial Update Following Carve-Out Transaction LOS ANGELES, May 19, 2025 – B. Riley Securities Holdings, Inc. (“B. Riley Securities,” “BRS” or the “Company”), a leading middle market investment bank, today provided a business and financial update following its previously announced carve-out transaction with B. Riley Financial, Inc. (“BRF”), |
|
| May 22, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 16, 2025 B. RILEY FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction of incorporation) (Commission F |
|
| May 22, 2025 |
B. RILEY FINANCIAL, INC. NONSTATUTORY STOCK OPTION AGREEMENT Exhibit 10.2 NEITHER THE OPTION (DEFINED BELOW) NOR THE COVERED SHARES (DEFINED BELOW) HAVE BEEN REGISTERED UNDER THE SECURITIES ACT (DEFINED BELOW), OR ANY U.S. STATE “BLUE SKY” OR SECURITIES LAWS OR THE SECURITIES LAWS OR REGULATIONS OF ANY NON-U.S. JURISDICTION. SUCH COVERED SHARES CANOT BE SOLD, TRANSFERRED, ASSIGNED, PLEDGED, HYPOTHECATED OR OTHERWISE DISPOSED OF, EXCEPT IN COMPLIANCE WITH AP |
|
| May 22, 2025 |
Exhibit 10.1 [Execution Copy] EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (“Agreement”) is entered into by and between B. Riley Financial, Inc. (the “Company”) and Scott Yessner (“Executive”), effective as of May 19, 2025 (“Effective Date”). WHEREAS, the Company desires to retain the services of Executive, and Executive desires to be employed by the Company. NOW, THEREFORE, in consideration of |
|
| May 22, 2025 |
Exhibit 99.1 B. Riley Financial Announces CFO Transition Scott Yessner to Assume Chief Financial Officer Role, Succeeding Phillip Ahn LOS ANGELES, May 19, 2025 – B. Riley Financial, Inc. (NASDAQ: RILY) (“B. Riley” or the “Company”), a diversified financial services company, today announced that Scott Yessner has been appointed Chief Financial Officer, effective June 3, 2025. Mr. Yessner, who has s |
|
| May 13, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING Commission File Number: 001-37503 CUSIP: 05580M 108 (Check One): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-CEN ☐ Form N-CSR For Period Ended: March 31, 2025 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Tra |
|
| May 1, 2025 |
11100 Santa Monica Blvd., Suite 800 Los Angeles, CA 90025 Tel: ((310) 966-1444 www.brileyfin.com April 30, 2025 Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549-3720 Attention: Michael Volley, Amit Pande, Todd K. Schiffman and James Lopez Re: B. Riley Financial, Inc. Response to Comments dated November 1, 2024 File No. 001-37503 Ladies an |
|
| April 4, 2025 |
B. Riley Financial Announces Notification of Delinquency with Nasdaq Exhibit 99.1 B. Riley Financial Announces Notification of Delinquency with Nasdaq LOS ANGELES, April 4, 2025 – B. Riley Financial, Inc. (Nasdaq: RILY) (the "Company") today announced it received an expected delinquency notification letter from Nasdaq on April 3, 2025, which indicated that the Company was not in compliance with Nasdaq Listing Rule 5250(c)(1) as a result of the delayed filing of the |
|
| April 4, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 1, 2025 B. Riley FinanCIAl, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction of incorporation) (Commission |
|
| April 1, 2025 |
Exhibit 10.1 B. RILEY FINANCIAL, INC., as the Issuer and THE GUARANTORS PARTY HERETO $87,753,000 8.00% Senior Secured Second Lien Notes due 2028 INDENTURE Dated as of March 26, 2025 GLAS TRUST COMPANY LLC, as Trustee and Collateral Agent TABLE OF CONTENTS Page ARTICLE I DEFINITIONS AND INCORPORATION BY REFERENCE Section 1.01 Definitions 1 Section 1.02 Other Definitions 46 Section 1.03 Rules of Con |
|
| April 1, 2025 |
Exhibit 10.2 FORM OF 8.00% SENIOR SECURED SECOND LIEN NOTE DUE 2028 (Face of Note) 8.00% Senior Secured Second Lien Notes due 2028 [Global Notes Legend] [Insert the Global Note Legend, if applicable, pursuant to the provisions of the Indenture] [Restricted Notes Legend] [Insert the Restricted Notes Legend, if applicable, pursuant to the provisions of the Indenture] [Regulation S Global Note Legend |
|
| April 1, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 26, 2025 B. Riley FinanCIAl, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction of incorporation) (Commission |
|
| April 1, 2025 |
Exhibit 10.3 Execution Version WARRANT THIS WARRANT AND THE COMMON STOCK, IF ANY, ISSUABLE UPON EXERCISE OF THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE U.S. SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR ANY NON-U.S. OR STATE SECURITIES LAWS, AND MAY NOT BE OFFERED, SOLD, PLEDGED OR OTHERWISE TRANSFERRED EXCEPT IN ACCORDANCE WITH THE FOLLOWING SENTENCE. BY ITS ACQUISITION HEREOF |
|
| April 1, 2025 |
Exhibit 10.4 Execution Version REGISTRATION RIGHTS AGREEMENT This REGISTRATION RIGHTS AGREEMENT, dated as of March 26, 2025 (this “Agreement”), is made between B. Riley Financial, Inc., a Delaware corporation (the “Company”), and Holbrook Income Fund, a Delaware statutory trust (the “Initial Holder” and, together with any holder pursuant to a Joinder Agreement (as defined below), the “Holders”). C |
|
| March 18, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING Commission File Number: 001-37503 CUSIP: 05580M 108 (Check One): ☒ Form 10-K ☐ Form 20-F ☐ Form 11-K Form 10-Q ☐ Form 10-D ☐ Form N-CEN ☐ Form N-CSR For Period Ended: December 31, 2024 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Tr |
|
| March 14, 2025 |
Exhibit 99.1 B. Riley Financial Announces Carve Out Transaction with B. Riley Securities B. Riley Securities (BRS) to Serve Distinct Needs of Companies Across Middle Market Segments Well Capitalized and Debt Free, BRS to Benefit from Separate Operating and Governance Structures B. Riley Financial to Retain ~89% Ownership Stake in BRS with Remaining Shares Exclusively Held by Employees of BRS in Fo |
|
| March 14, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 10, 2025 B. Riley FinanCIAl, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction of incorporation) (Commission |
|
| March 7, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 3, 2025 B. Riley FinanCIAl, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction of incorporation) (Commission |
|
| March 7, 2025 |
Exhibit 2.1 Execution Version MEMBERSHIP INTEREST PURCHASE AGREEMENT Dated as of March 1, 2025, by and among Atlantic Coast Recycling Holdings, Inc., on the one hand, and Atlantic Coast Recycling, LLC, Atlantic Coast Recycling of Ocean County, LLC, ReVal Group, LLC, B. Riley Financial, Inc., BR Financial Holdings, LLC, B. Riley Environmental Holdings, LLC, BRF Investments, LLC, Mario Gigante, Infr |
|
| March 7, 2025 |
B. Riley Financial Announces Sale of Atlantic Coast Recycling, LLC for $70 Million in Cash Proceeds Exhibit 99.1 B. Riley Financial Announces Sale of Atlantic Coast Recycling, LLC for $70 Million in Cash Proceeds LOS ANGELES, March 3, 2025 – B. Riley Financial, Inc. (NASDAQ: RILY) (“B. Riley” or the “Company”), a diversified financial services company, today announced it has completed the sale of Atlantic Coast Recycling, LLC for approximately $70 million in cash proceeds. The Company expects to |
|
| March 4, 2025 |
Exhibit 10.2 Execution Version WARRANT THIS WARRANT AND THE COMMON STOCK, IF ANY, ISSUABLE UPON EXERCISE OF THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE U.S. SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR ANY NON-U.S. OR STATE SECURITIES LAWS, AND MAY NOT BE OFFERED, SOLD, PLEDGED OR OTHERWISE TRANSFERRED EXCEPT IN ACCORDANCE WITH THE FOLLOWING SENTENCE. BY ITS ACQUISITION HEREOF |
|
| March 4, 2025 |
Exhibit 10.1 Execution Version CREDIT AGREEMENT dated as of February 26, 2025 among B. RILEY FINANCIAL, INC., as Ultimate Parent, BR FINANCIAL HOLDINGS, LLC, as Borrower, THE LENDERS PARTY HERETO FROM TIME TO TIME Oaktree fund administration, llc, as Administrative Agent and as Collateral Agent TABLE OF CONTENTS Page Article I. DEFINITIONS 1 Section 1.01 Defined Terms 1 Section 1.02 Other Interpre |
|
| March 4, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 26, 2025 B. Riley FinanCIAl, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction of incorporation) (Commiss |
|
| March 4, 2025 |
Exhibit 10.3 Execution version REGISTRATION RIGHTS AGREEMENT This REGISTRATION RIGHTS AGREEMENT, dated as of February 26, 2025 (this “Agreement”), is made between B. Riley Financial, Inc., a Delaware corporation (the “Company”), and each of the persons whose name appears on the signature pages hereto (collectively, the “Initial Holders” and, together with any holder pursuant to a Joinder Agreement |
|
| March 3, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 3, 2025 B. RILEY FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction (Commission File Number) (IRS |
|
| March 3, 2025 |
Exhibit 99.1 FOR IMMEDIATE RELEASE B. Riley Financial Releases Preliminary Estimates of Unaudited Fourth Quarter 2024 Financial Results Net Income Available to Common Shareholders Expected to be in Range of $48 million to $68 million, or $1.57 to $2.22 Per Diluted Net Income per Common Share LOS ANGELES, March 3, 2025 – B. Riley Financial, Inc. (NASDAQ: RILY) (“B. Riley” or the “Company”), a diver |
|
| February 25, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 24, 2025 B. Riley FinanCIAl, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction of incorporation) (Commiss |
|
| February 21, 2025 |
Credit Agreement, dated September 17, 2024 Exhibit 10.4 AMENDMENT NO. 4 TO CREDIT AGREEMENT This AMENDMENT NO. 4 TO CREDIT AGREEMENT (this “Amendment”) is entered into effective September 17, 2024 (the “Amendment No. 4 Effective Date”), among B. Riley Financial, Inc., a Delaware corporation (“Ultimate Parent”), BR Financial Holdings, LLC, a Delaware limited liability company (the “Borrower”), each of the other Loan Parties party hereto, ea |
|
| February 21, 2025 |
Exhibit 10.13 NINTH AMENDMENT TO CREDIT AGREEMENT THIS NINTH AMENDMENT TO CREDIT AGREEMENT (this “Amendment”), dated as of September 13, 2024 (the “Ninth Amendment Effective Date”), is entered into by and among BRPI Acquisition Co LLC, a Delaware limited liability company, United Online, Inc., a Delaware corporation, YMax Corporation, a Delaware corporation (collectively, the “Borrowers”), the Aff |
|
| February 21, 2025 |
Third Amendment to Third Amended and Restated Wells Fargo Credit Agreement, dated September 3, 2024 Exhibit 10.8 Execution Version THIRD AMENDMENT TO THIRD AMENDED AND RESTATED CREDIT AGREEMENT THIRD AMENDMENT TO THIRD AMENDED AND RESTATED CREDIT AGREEMENT (this “Amendment”), dated as of September 3, 2024, is entered into by and among WELLS FARGO BANK, NATIONAL ASSOCIATION (the “U.S. Lender”), WELLS FARGO CAPITAL FINANCE CORPORATION CANADA (the “Canadian Lender” and together with the U.S. Lender |
|
| February 21, 2025 |
Second Amendment to Third Amended and Restated Exhibit 10.7 Execution Version SECOND AMENDMENT TO THIRD AMENDED AND RESTATED CREDIT AGREEMENT SECOND AMENDMENT TO THIRD AMENDED AND RESTATED CREDIT AGREEMENT (this “Amendment”), dated as of August 19, 2024, is entered into by and among WELLS FARGO BANK, NATIONAL ASSOCIATION (the “U.S. Lender”), WELLS FARGO CAPITAL FINANCE CORPORATION CANADA (the “Canadian Lender” and together with the U.S. Lender |
|
| February 21, 2025 |
Lingo Management LLC and Banc of California Exhibit 10.17 NINTH AMENDMENT TO CREDIT AGREEMENT THIS NINTH AMENDMENT TO CREDIT AGREEMENT (this “Amendment”), dated as of September 6, 2024, is entered into by and among LINGO MANAGEMENT, LLC, a Delaware limited liability company (“Borrower”), the Affiliates of the Borrower identified on the signature pages hereto (collectively, the “Secured Guarantors”), the financial institutions identified on |
|
| February 21, 2025 |
Fifth Amendment to Third Amended and Restated Wells Fargo Credit Agreement, dated September 27, 2024 Exhibit 10.10 Execution Version FIFTH AMENDMENT TO THIRD AMENDED AND RESTATED CREDIT AGREEMENT FIFTH AMENDMENT TO THIRD AMENDED AND RESTATED CREDIT AGREEMENT (this “Amendment”), dated as of September 27, 2024, is entered into by and among WELLS FARGO BANK, NATIONAL ASSOCIATION (the “U.S. Lender”), WELLS FARGO CAPITAL FINANCE CORPORATION CANADA (the “Canadian Lender” and together with the U.S. Lend |
|
| February 21, 2025 |
Lingo Management LLC and Banc of California Exhibit 10.18 TENTH AMENDMENT TO CREDIT AGREEMENT THIS TENTH AMENDMENT TO CREDIT AGREEMENT (this “Amendment”), dated as of September 20, 2024, is entered into by and among LINGO MANAGEMENT, LLC, a Delaware limited liability company (“Borrower”), the Affiliates of the Borrower identified on the signature pages hereto (collectively, the “Secured Guarantors”), the financial institutions identified on |
|
| February 21, 2025 |
Lingo Management LLC and Banc of California Exhibit 10.16 EIGHTH AMENDMENT TO CREDIT AGREEMENT THIS EIGHTH AMENDMENT TO CREDIT AGREEMENT (this “Amendment”), dated as of August 22, 2024, is entered into by and among LINGO MANAGEMENT, LLC, a Delaware limited liability company (“Borrower”), the Affiliates of the Borrower identified on the signature pages hereto (collectively, the “Secured Guarantors”), the financial institutions identified on |
|
| February 21, 2025 |
Exhibit 3.1 STATE OF DELAWARE CERTIFICATE OF CORRECTION B. Riley Financial, Inc., a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware. DOES HEREBY CERTIFY: 1.The name of the corporation is B. Riley Financial, Inc. 2.That a Certificate of Designation of 6.875% Series A Cumulative Perpetual Preferred was filed by the Secretary of State of |
|
| February 21, 2025 |
Exhibit 10.14 TENTH AMENDMENT TO CREDIT AGREEMENT THIS TENTH AMENDMENT TO CREDIT AGREEMENT (this “Amendment”), dated as of September 20, 2024 (the “Tenth Amendment Effective Date”), is entered into by and among BRPI Acquisition Co LLC, a Delaware limited liability company, United Online, Inc., a Delaware corporation, YMax Corporation, a Delaware corporation (collectively, the “Borrowers”), the Aff |
|
| February 21, 2025 |
Exhibit 10.9 Execution Version FOURTH AMENDMENT TO THIRD AMENDED AND RESTATED CREDIT AGREEMENT FOURTH AMENDMENT TO THIRD AMENDED AND RESTATED CREDIT AGREEMENT (this “Amendment”), dated as of September 13, 2024, is entered into by and among WELLS FARGO BANK, NATIONAL ASSOCIATION (the “U.S. Lender”), WELLS FARGO CAPITAL FINANCE CORPORATION CANADA (the “Canadian Lender” and together with the U.S. Len |
|
| February 21, 2025 |
Exhibit 10.12 EIGHTH AMENDMENT TO CREDIT AGREEMENT THIS EIGHTH AMENDMENT TO CREDIT AGREEMENT (this “Amendment”), dated as of September 6, 2024 (the “Eighth Amendment Effective Date”), is entered into by and among BRPI Acquisition Co LLC, a Delaware limited liability company, United Online, Inc., a Delaware corporation, YMax Corporation, a Delaware corporation (collectively, the “Borrowers”), the A |
|
| February 21, 2025 |
Amendment No. 6 to Nomura Credit Agreement, dated Exhibit 10.6 EXECUTION VERSION CONFIDENTIAL AMENDMENT NO. 6 TO CREDIT AGREEMENT This AMENDMENT NO. 6 TO CREDIT AGREEMENT (this “Amendment”) is entered into effective January 3, 2025 (the “Effective Date”), among B. Riley Financial, Inc., a Delaware corporation (“Ultimate Parent”), BR Financial Holdings, LLC, a Delaware limited liability company (the “Borrower”), each of the lenders party hereto (t |
|
| February 21, 2025 |
Exhibit 3.2 STATE OF DELAWARE CERTIFICATE OF CORRECTION B. Riley Financial, Inc., a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware. DOES HEREBY CERTIFY: 1.The name of the corporation is B. Riley Financial, Inc. 2.That a Certificate of Designation of 7.375% Series B Cumulative Perpetual Preferred was filed by the Secretary of State of |
|
| February 21, 2025 |
Amendment No. 5 to Nomura Credit Agreement, dated December 9, 2024 Exhibit 10.5 EXECUTION VERSION CONFIDENTIAL AMENDMENT NO. 5 TO CREDIT AGREEMENT This AMENDMENT NO. 5 TO CREDIT AGREEMENT (this “Amendment”) is entered into effective December 9, 2024 (the “Effective Date”), among B. Riley Financial, Inc., a Delaware corporation (“Ultimate Parent”), BR Financial Holdings, LLC, a Delaware limited liability company (the “Borrower”), each of the lenders party hereto ( |
|
| February 21, 2025 |
Kenny Young Consulting Services Agreement 11100 Santa Monica Blvd., Suite 800 Los Angeles, CA 90025 Tel: (310) 966-1444 www.brileyfin.com Exhibit 10.20 CONSULTING SERVICES AGREEMENT This CONSULTING SERVICES AGREEMENT (“Agreement”) entered into as of September 20, 2024 (the “Effective Date”) between B. Riley Financial, Inc., a Delaware corporation (the “Company”), and Kenny Young (“Consultant”). Recitals WHEREAS, the Company desires to ret |
|
| February 21, 2025 |
Exhibit 10.15 ELEVENTH AMENDMENT TO CREDIT AGREEMENT THIS ELEVENTH AMENDMENT TO CREDIT AGREEMENT (this “Amendment”), dated as of September 30, 2024 (the “Eleventh Amendment Effective Date”), is entered into by and among BRPI Acquisition Co LLC, a Delaware limited liability company, United Online, Inc., a Delaware corporation, YMax Corporation, a Delaware corporation (collectively, the “Borrowers”) |
|
| February 21, 2025 |
Credit Agreement, dated August 22, 2024 Exhibit 10.11 SEVENTH AMENDMENT TO CREDIT AGREEMENT THIS SEVENTH AMENDMENT TO CREDIT AGREEMENT (this “Amendment”), dated as of August 22, 2024 (the “Seventh Amendment Effective Date”), is entered into by and among BRPI Acquisition Co LLC, a Delaware limited liability company, United Online, Inc., a Delaware corporation, YMax Corporation, a Delaware corporation (collectively, the “Borrowers”), the |
|
| February 21, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 Or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Numbe |
|
| February 21, 2025 |
Lingo Management LLC and Banc of California Exhibit 10.19 ELEVENTH AMENDMENT TO CREDIT AGREEMENT THIS ELEVENTH AMENDMENT TO CREDIT AGREEMENT (this “Amendment”), dated as of September 30, 2024, is entered into by and among LINGO MANAGEMENT, LLC, a Delaware limited liability company (“Borrower”), the Affiliates of the Borrower identified on the signature pages hereto (collectively, the “Secured Guarantors”), the financial institutions identif |
|
| January 14, 2025 |
Amendment No. 3 to Nomura Credit Agreement, dated May 24, 2024 Exhibit 10.3 Execution Version AMENDMENT NO. 3 TO CREDIT AGREEMENT This AMENDMENT NO. 3 TO CREDIT AGREEMENT (this “Amendment”) is entered into effective May 24, 2024 (the “Effective Date”), among B. Riley Financial, Inc., a Delaware corporation (“Ultimate Parent”), BR Financial Holdings, LLC, a Delaware limited liability company (the “Borrower”), each of the lenders from time to time parties heret |
|
| January 14, 2025 |
eventh Amendment to Banc of California Credit Agreement, d Exhibit 10.2 SEVENTH AMENDMENT TO CREDIT AGREEMENT THIS SEVENTH AMENDMENT TO CREDIT AGREEMENT (this “Amendment”), dated as of April 9, 2024, is entered into by and among LINGO MANAGEMENT, LLC, a Delaware limited liability company (“Borrower”), the Affiliates of the Borrower identified on the signature pages hereto (collectively, the “Secured Guarantors”), the financial institutions identified on t |
|
| January 14, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 Or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001 |
|
| January 10, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 6, 2025 B. Riley FinanCIAl, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction of incorporation) (Commissio |
|
| December 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 9, 2024 B. Riley FinanCIAl, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction of incorporation) (Commissi |
|
| November 26, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 20, 2024 B. RILEY FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction of incorporation) (Commiss |
|
| November 26, 2024 |
Exhibit 99.1 B. Riley Financial Provides Update on Quarterly Filing Process Announces Notification of Additional Delinquency with Nasdaq for Late Filing of Form 10-Q for Period Ended September 30, 2024 Expects to Return to Normal Filing Cadence in 2025 LOS ANGELES, November 26, 2024 – B. Riley Financial, Inc. (NASDAQ: RILY) (“B. Riley” or the “Company”), a diversified financial services company, t |
|
| November 21, 2024 |
Exhibit 2.1 Execution Version EQUITY PURCHASE AGREEMENT by and among THE PARTIES IDENTIFIED HEREIN, GREAT AMERICAN HOLDINGS, LLC and, solely for the purposes of Section 9.14, B. Riley Financial Inc. Dated as of October 13, 2024 TABLE OF CONTENTS Page Article I Purchase and Sale; Closing; Closing Deliveries Section 1.01 Purchase and Sale 3 Section 1.02 Time and Place of Closing 3 Section 1.03 Deliv |
|
| November 21, 2024 |
Exhibit 99.1 The Great American Group Launches as New Independent Business Following Formation of Partnership between Oaktree and B. Riley The Great American Group to Leverage 30-Year Track Record to Provide Industry-Leading Valuation, Appraisal, Asset Disposition and Real Estate Services B. Riley to Recognize Gain of Approximately $235 Million on Transaction in Fourth Quarter 2024 Results LOS ANG |
|
| November 21, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 15, 2024 B. Riley FinanCIAl, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction of incorporation) (Commiss |
|
| November 14, 2024 |
SC 13D/A 1 ea0221141-13da4brileytrans.htm AMENDMENT NO. 4 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4) TransAct Technologies, Inc. (Name of Issuer) Common Stock, par value $0.01 par value (Title of Class of Securities) 892918103 (CUSIP Number) Bryant R. Riley B. Riley Financial, Inc. |
|
| November 13, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 13, 2024 B. RILEY FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction of incorporation) (Commiss |
|
| November 13, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING Commission File Number: 001-37503 CUSIP: 05580M 108 (Check One): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-CEN ☐ Form N-CSR For Period Ended: September 30, 2024 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ |
|
| November 4, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 4, 2024 B. RILEY FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction of incorporation) (Commissi |
|
| November 4, 2024 |
Exhibit 99.1 Company Email to Employees Last night Franchise Group filed for bankruptcy. This is not the outcome we ever envisioned. I feel personally sick about this result. There will likely be no equity recovery for all the constituents that participated, including the B. Riley shareholders, 69 employees, wealth clients and institutions that rolled their shares from the public entity and new in |
|
| November 1, 2024 |
11100 Santa Monica Blvd., Suite 800 Los Angeles, CA 90025 Tel: (310) 966-1444 www.brileyfin.com November 1, 2024 Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549-3720 Attention: Michael Volley, Amit Pande and John Stickel Re: B. Riley Financial, Inc. Form 10-K for Fiscal Year Ended December 31, 2023 Form 10-Q for Quarter Ended March 31, 2 |
|
| October 31, 2024 |
Exhibit 2.2 EXECUTION COPY MEMBERSHIP INTEREST PURCHASE AGREEMENT by and among HBN 120, LLC, BEBE STORES, INC., BB BRAND HOLDINGS LLC, and BKST BRAND MANAGEMENT LLC, OCTOBER 25, 2024 TABLE OF CONTENTS Page Article 1 DEFINED TERMS 1 1.1 Defined Terms 1 1.2 Terms Defined Elsewhere in this Agreement 6 1.3 Other Definitional and Interpretive Matters. 7 Article 2 PURCHASE AND SALE 9 2.1 Purchase and Sa |
|
| October 31, 2024 |
B. Riley Financial Secures $236 Million in Cash Proceeds from Brands Assets Exhibit 99.1 B. Riley Financial Secures $236 Million in Cash Proceeds from Brands Assets LOS ANGELES, October 29, 2024 – B. Riley Financial, Inc. (NASDAQ: RILY) (“B. Riley” or the “Company”), a diversified financial services company, today announced it and its subsidiary bebe stores, inc. (“bebe”) have completed a transaction for their brand assets yielding approximately $236 million in cash proce |
|
| October 31, 2024 |
Exhibit 2.1 EXECUTION COPY TRANSFER AND CONTRIBUTION AGREEMENT between B. RILEY BRAND MANAGEMENT LLC as Transferor and BR FUNDING HOLDINGS 2024-1 LLC as Transferee Dated as of October 25, 2024 TABLE OF CONTENTS Page ARTICLE I DEFINITIONS 1 SECTION 1.1 Definitions 1 SECTION 1.2 Other Terms 4 SECTION 1.3 Computation of Time Periods 4 SECTION 1.4 Interpretation 4 ARTICLE II CONVEYANCES OF TRANSFERRED |
|
| October 31, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 25, 2024 B. RILEY FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction of incorporation) (Commissi |
|
| October 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2) B. Riley Financial, Inc. (Name of Issuer) Common Stock, par value $0.0001 par value (Title of Class of Securities) 05580M108 (CUSIP Number) Bryant R. Riley 11100 Santa Monica Boulevard, Suite 800 Los Angeles, CA 90025 (818) 884-3737 (Name, Address and Tel |
|
| October 30, 2024 |
Exhibit 1 PLEDGE AGREEMENT THIS PLEDGE AGREEMENT (this “Agreement”), dated as of March 19, 2019, is executed and delivered by Bryant R. |
|
| October 30, 2024 |
Exhibit 2 FIRST AMENDMENT TO PLEDGE AGREEMENT This First Amendment to Pledge Agreement (this “Amendment”) dated as of June 7, 2019, is made by and between Bryant R. |
|
| October 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 30, 2024 B. RILEY FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction of incorporation) (Commissi |
|
| October 30, 2024 |
Exhibit 3 SECOND AMENDMENT TO PLEDGE AGREEMENT This Second Amendment to Pledge Agreement (this “Amendment”) dated as of May 6, 2020, is made by and between Bryant R. |
|
| October 15, 2024 |
Exhibit 99.1 B. Riley Financial to Establish Partnership with Oaktree in the Great American Group Businesses Concludes Previously Announced Review of Strategic Alternatives for the Great American Group Businesses LOS ANGELES, Oct. 14, 2024 – B. Riley Financial, Inc. (Nasdaq: RILY) (“B. Riley” and the "Company"), a diversified financial services platform, and funds managed by Oaktree Capital Manage |
|
| October 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 13, 2024 B. Riley FinanCIAl, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction of incorporation) (Commissi |
|
| October 1, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 10) Synchronoss Technologies, Inc. (Name of Issuer) Common Stock, par value $0.0001 par value (Title of Class of Securities) 87157B103 (CUSIP Number) Bryant R. Riley B. Riley Financial, Inc. 11100 Santa Monica Boulevard, Suite 800 Los Angeles, CA 90025 (818) |
|
| September 25, 2024 |
SC 13D/A 1 ea0215633-13da18brileybab.htm AMENDMENT NO. 18 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 18)* Babcock & Wilcox Enterprises, Inc. (Name of Issuer) Common Stock, par value $0.01 (Title of Class of Securities) 05614L100 (CUSIP Number) Bryant R. Riley B. Riley Financial, Inc. |
|
| September 23, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 17, 2024 B. Riley FinanCIAl, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction of incorporation) (Commis |
|
| September 5, 2024 |
SC 13D/A 1 ea0213619-13da9brileysyn.htm AMENDMENT NO. 9 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 9) Synchronoss Technologies, Inc. (Name of Issuer) Common Stock, par value $0.0001 par value (Title of Class of Securities) 87157B103 (CUSIP Number) Bryant R. Riley B. Riley Financial, I |
|
| August 23, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 21, 2024 B. RILEY FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction of incorporation) (Commissio |
|
| August 23, 2024 |
B. Riley Financial Announces Notification of Delinquency with Nasdaq Exhibit 99.1 B. Riley Financial Announces Notification of Delinquency with Nasdaq LOS ANGELES, August 23, 2024 – B. Riley Financial, Inc. (Nasdaq: RILY) (the "Company") announced it received an expected delinquency notification letter from Nasdaq on August 21, 2024, which indicated that the Company was not in compliance with Nasdaq Listing Rule 5250(c)(1) as a result of the delayed filing of the C |
|
| August 21, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 8) Synchronoss Technologies, Inc. (Name of Issuer) Common Stock, par value $0.0001 par value (Title of Class of Securities) 87157B103 (CUSIP Number) Bryant R. Riley B. Riley Financial, Inc. 11100 Santa Monica Boulevard, Suite 800 Los Angeles, CA 90025 (818) |
|
| August 16, 2024 |
Letter to the Board of Directors by the Reporting Person Exhibit 1 August 15, 2024 Board of Directors of B. Riley Financial, Inc. 11100 Santa Monica Blvd., Suite 800 Los Angeles, CA 90025 Ladies and Gentlemen: As you know, I am the co-founder and largest stockholder of B. Riley Financial, Inc. (“RILY” or the “Company”), owning approximately 24% of the Company’s outstanding common stock. I am also the chairman and co-chief executive officer of the Compan |
|
| August 16, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1) B. Riley Financial, Inc. (Name of Issuer) Common Stock, par value $0.0001 par value (Title of Class of Securities) 05580M108 (CUSIP Number) Bryant R. Riley 11100 Santa Monica Boulevard, Suite 800 Los Angeles, CA 90025 (818) 884-3737 (Name, Address and Tel |
|
| August 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 7) Synchronoss Technologies, Inc. (Name of Issuer) Common Stock, par value $0.0001 par value (Title of Class of Securities) 87157B103 (CUSIP Number) Bryant R. Riley B. Riley Financial, Inc. 11100 Santa Monica Boulevard, Suite 800 Los Angeles, CA 90025 (818) |
|
| August 12, 2024 |
Exhibit 99.1 B. Riley Financial Releases Preliminary Second Quarter 2024 Financial Results Provides Additional Detail on FRG Investment and Other Developments Investor Call Scheduled for Monday, August 12 at 8:30 am ET LOS ANGELES, August 12, 2024 – B. Riley Financial, Inc. (NASDAQ: RILY) (“B. Riley” or the “Company”), a diversified financial services platform, today released preliminary financial |
|
| August 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 12, 2024 B. RILEY FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction (Commission File Number) (IR |
|
| August 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING Commission File Number: 001-37503 CUSIP: 05580M 108 (Check One): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-CEN ☐ Form N-CSR For Period Ended: June 30, 2024 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Tran |
|
| July 15, 2024 |
Exhibit 5 EXECUTION VERSION BABCOCK & WILCOX ENTERPRISES, INC. REGISTRATION RIGHTS AGREEMENT THIS REGISTRATION RIGHTS AGREEMENT (this “Agreement”) is made as of July 11, 2024 among Babcock & Wilcox Enterprises, Inc., a Delaware corporation (the “Company”), and B. Riley Financial Inc., a Delaware corporation (the “Investor”), and each other Person who executes a Joinder as an “Other Holder” (collec |
|
| July 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 17)* Babcock & Wilcox Enterprises, Inc. (Name of Issuer) Common Stock, par value $0.01 (Title of Class of Securities) 05614L100 (CUSIP Number) Bryant R. Riley B. Riley Financial, Inc. 11100 Santa Monica Boulevard, Suite 800 Los Angeles, CA 90025 (818) 884-37 |
|
| July 2, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 6) Synchronoss Technologies, Inc. (Name of Issuer) Common Stock, par value $0.0001 par value (Title of Class of Securities) 87157B103 (CUSIP Number) Bryant R. Riley B. Riley Financial, Inc. 11100 Santa Monica Boulevard, Suite 800 Los Angeles, CA 90025 (818) |
|
| July 2, 2024 |
Exhibit 5 NOTE REPURCHASE AGREEMENT THIS NOTE REPURCHASE AGREEMENT (this “Repurchase Agreement”) is made and entered into as of June 28, 2024 by and among BRF Investments LLC (“BRF”), B. |
|
| July 2, 2024 |
Exhibit 6 SERIES B REPURCHASE AGREEMENT THIS SERIES B REPURCHASE AGREEMENT (this “Repurchase Agreement”) is made and entered into as of June 28, 2024 by and between BRF Investments, LLC (the “Holder”) and Synchronoss Technologies, Inc. |
|
| July 1, 2024 |
11100 Santa Monica Blvd., Suite 800 Los Angeles, CA 90025 Tel: (310) 966-1444 www.brileyfin.com July 1, 2024 VIA EDGAR CORRESPONDENCE United States Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N.E. Washington, D.C. 20549 Attn: Doris Stacey Gama Suzanne Hayes Re: B. Riley Financial, Inc. Form 8-K Filed April 8, 2024 File No. 001-37503 Dear |
|
| June 26, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 21, 2024 B. RILEY FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction (Commission File Number) (IRS |
|
| May 15, 2024 |
Exhibit 99.1 B. Riley Financial Reports First Quarter 2024 Results; Declares Quarterly Dividend of $0.50 per share LOS ANGELES, May 15, 2024 – B. Riley Financial, Inc. (NASDAQ: RILY) (“B. Riley” or the “Company”), a diversified financial services platform, today released financial results for the three-month period ended March 31, 2024. First Quarter 2024 Summary ● Net loss available to common sha |
|
| May 15, 2024 |
Amendment No. 2 to Nomura Credit Agreement, dated March 26, 2024 Exhibit 10.2 AMENDMENT NO. 2 TO CREDIT AGREEMENT This AMENDMENT NO. 2 TO CREDIT AGREEMENT (this “Amendment”) is entered into effective March 26, 2024 (the “Effective Date”), among B. Riley Financial, Inc., a Delaware corporation (“Ultimate Parent”), BR Financial Holdings, LLC, a Delaware limited liability company (the “Borrower”), each of the lenders from time to time parties hereto (the “Lenders” |
|
| May 15, 2024 |
Exhibit 99.2 D e b t S ummary |
|
| May 15, 2024 |
Fifth Amendment to Banc of California Credit agreement, dated March 15, 2024 Exhibit 10.4 FIFTH AMENDMENT TO CREDIT AGREEMENT THIS FIFTH AMENDMENT TO CREDIT AGREEMENT (this “Amendment”), dated as of March 15, 2024 (the “Fifth Amendment Effective Date”), is entered into by and among BRPI Acquisition Co LLC, a Delaware limited liability company, United Online, Inc., a Delaware corporation, YMax Corporation, a Delaware corporation (collectively, the “Borrowers”), the Affiliat |
|
| May 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 Or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 00 |
|
| May 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 15, 2024 B. RILEY FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction of incorporation) (Commission F |
|
| May 15, 2024 |
Sixth Amendment to Banc of California Credit Agreement, dated April 9, 2024 Exhibit 10.5 SIXTH AMENDMENT TO CREDIT AGREEMENT THIS SIXTH AMENDMENT TO CREDIT AGREEMENT (this “Amendment”), dated as of April 9, 2024 (the “Sixth Amendment Effective Date”), is entered into by and among BRPI Acquisition Co LLC, a Delaware limited liability company, United Online, Inc., a Delaware corporation, YMax Corporation, a Delaware corporation (collectively, the “Borrowers”), the Affiliate |
|
| May 15, 2024 |
First Amendment to Third Amended and Restated Wells Fargo Credit Agreement, dated March 28, 2024 Execution Version Exhibit 10.3 FIRST AMENDMENT TO THIRD AMENDED AND RESTATED CREDIT AGREEMENT FIRST AMENDMENT TO THIRD AMENDED AND RESTATED CREDIT AGREEMENT (this “Amendment”), dated as of March 28, 2024, is entered into by and among WELLS FARGO BANK, NATIONAL ASSOCIATION (the “U.S. Lender”), WELLS FARGO CAPITAL FINANCE CORPORATION CANADA (the “Canadian Lender” and together with the U.S. Lender, t |
|
| May 15, 2024 |
Amendment No. 1 to Nomura Credit Agreement, dated October 6, 2023 Exhibit 10.1 AMENDMENT NO. 1 TO CREDIT AGREEMENT This AMENDMENT NO. 1 TO CREDIT AGREEMENT (this “Amendment”) is entered into effective October 6, 2023 (the “Effective Date”), among B. Riley Financial, Inc., a Delaware corporation (“Ultimate Parent”), BR Financial Holdings, LLC, a Delaware limited liability company (the “Borrower”), each of the lenders from time to time parties hereto (the “Lenders |
|
| May 13, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING Commission File Number: 001-37503 CUSIP: 05580M 108 (Check One): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-CEN ☐ Form N-CSR For Period Ended: March 31, 2024 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Tra |
|
| May 10, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant To Section 14(A) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
|
| May 10, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant To Section 14(A) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy State |
|
| May 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* The Real Good Food Company, Inc. (Name of Issuer) Class A Common Stock, $0.0001 par value per share (Title of Class of Securities) 75601G109 (CUSIP Number) May 3, 2024 (Date of Event which Requires Filing of this Statement) Check the appropriate box to d |
|
| May 1, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 26, 2024 B. RILEY FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction of incorporation) (Commission |
|
| May 1, 2024 |
B. Riley Financial Regains Compliance with Nasdaq Listing Rule 5250(c)(1) Exhibit 99.1 B. Riley Financial Regains Compliance with Nasdaq Listing Rule 5250(c)(1) LOS ANGELES, April 26, 2024 – B. Riley Financial, Inc. (Nasdaq: RILY) (the “Company”) announced that the Company has regained compliance with Nasdaq Listing Rule 5250(c)(1) in connection with the filing of its 2023 Annual Report on Form 10-K (the “Annual Report”). The Company received notice from The Nasdaq Stoc |
|
| April 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1) (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 Or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-3 |
|
| April 24, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 Or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-375 |
|
| April 24, 2024 |
B. Riley Financial Files 2023 Annual Report on Form 10-K Exhibit 99.1 B. Riley Financial Files 2023 Annual Report on Form 10-K ● Audit Committee Independent Legal Counsel, Winston & Strawn LLP, Completes Investigation of Relationship Between the Company and Brian Kahn ● Independent Investigation Reaches Same Conclusion of Prior Internal Review Conducted by Sullivan & Cromwell LLP LOS ANGELES, April 24, 2024 – B. Riley Financial, Inc. (NASDAQ: RILY) (“B. |
|
| April 24, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 24, 2024 B. RILEY FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction of incorporation) (Commission |
|
| April 24, 2024 |
Exhibit 21.1 Subsidiaries of B. Riley Financial, Inc. – December 31, 2023 Jurisdiction of Organization/ Subsidiary Incorporation 272 Advisors LLC (90% Ownership)* Delaware ABJ5, LLC Delaware AHCAC (Assignment for the Benefit of Creditors), LLC California ANNETNAUS (ASSIGNMENT FOR THE BENEFIT OF CREDITORS), LLC California Atlantic Coast Recycling of Ocean County, LLC Delaware Atlantic Coast Recycli |
|
| April 24, 2024 |
Exhibit 10.34 B. Riley Financial, Inc. 2021 STOCK INCENTIVE PLAN TIME-BASED RESTRICTED STOCK UNIT AWARD AGREEMENT This Time-Based Restricted Stock Unit Award Agreement (this “Award Agreement”) evidences an award of time-based restricted stock units (“RSUs”) by B. Riley Financial, Inc., a Delaware corporation (together with any Subsidiary, and any successor entity thereto, the “Company”), under the |
|
| April 24, 2024 |
Exhibit 97.1 POLICY Subject: Clawback Policy Date Issued: Amended: Approved by: Board of Directors Date: November 6, 2023 Distribution: Executive Officers I. BACKGROUND B. Riley Financial, Inc. (the “Company”) has adopted this policy (this “Policy”) to provide for the recovery or “clawback” of certain incentive compensation in the event of a Restatement. This Policy is intended to comply with, and |
|
| April 24, 2024 |
Exhibit 99.2 April 23, 2024 NASDAQ: RILY Fourth Quarter 2023 Supplemental Financial Data Reconciliation of U.S. GAAP to Non - GAAP Measures Q4 2023 Q3 2023 Q2 2023 Q1 2023 Q4 2022 (Unaudited, dollars in thousands) Total Revenues to Operating Revenue Reconciliation $ 342,920 $ 462,312 $ 406,278 $ 432,090 $ 382,092 Total Revenues 41,518 10,587 (42,365) (51,568) 58,670 Revenue Adjustments: Trading lo |
|
| April 17, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 16)* Babcock & Wilcox Enterprises, Inc. (Name of Issuer) Common Stock, par value $0.01 (Title of Class of Securities) 05614L100 (CUSIP Number) Bryant R. Riley B. Riley Financial, Inc. 11100 Santa Monica Boulevard, Suite 800 Los Angeles, CA 90025 (818) 884-37 |
|
| April 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 5, 2024 B. RILEY FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction of incorporation) (Commission |
|
| March 27, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 27, 2024 B. RILEY FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction of incorporation) (Commission |
|
| March 26, 2024 |
SC 13D/A 1 ea0202411-13da3brileyfaze.htm AMENDMENT NO. 3 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) Under the Securities Exchange Act of 1934 (Amendment No. 3)* FaZe Holdings Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 31423J 102 (CUSIP Number) Bryant R. Riley B. Riley Financial, Inc. 11100 Santa Monica |
|
| March 22, 2024 |
B. Riley Financial Announces Notification of Delinquency with Nasdaq Exhibit 99.1 B. Riley Financial Announces Notification of Delinquency with Nasdaq LOS ANGELES, March 22, 2024 – B. Riley Financial, Inc. (Nasdaq: RILY) (the “Company”) announced it received an expected delinquency notification letter from Nasdaq on March 18, 2024 which indicated that the Company was not in compliance with Nasdaq Listing Rule 5250(c)(1) as a result of the delayed filing of the Comp |
|
| March 22, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 18, 2024 B. RILEY FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction of incorporation) (Commission |
|
| March 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 15, 2024 B. RILEY FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction of incorporation) (Commission |
|
| March 1, 2024 |
MCHX / Marchex, Inc. / B. Riley Financial, Inc. - AMENDMENT NO. 3 TO SCHEDULE 13G Passive Investment SC 13G/A 1 ea0201059-13ga3brileymar.htm AMENDMENT NO. 3 TO SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* Marchex, Inc. (Name of Issuer) Class B Common Stock, $0.01 par value per share (Title of Class of Securities) 56624R108 (CUSIP Number) February 28, 2024 (Date of Event which Requires |
|
| February 29, 2024 |
Exhibit 99.1 B. Riley Financial Reports Preliminary Unaudited Fourth Quarter and Full Year 2023 Results; Declares Quarterly Dividend of $0.50 per share LOS ANGELES, February 29, 2024 – B. Riley Financial, Inc. (NASDAQ: RILY) (“B. Riley” or the “Company”), a diversified financial services platform, today released preliminary unaudited financial results for the three and twelve-month periods ending |
|
| February 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING Commission File Number: 001-37503 CUSIP: 05580M 108 (Check One): ☒ Form 10-K ☐ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form 10-D ☐ Form N-CEN ☐ Form N-CSR For Period Ended: December 31, 2023 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ |
|
| February 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 29, 2024 B. RILEY FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction of incorporation) (Commiss |
|
| February 13, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* DoubleDown Interactive Co., Ltd. (Name of Issuer) American depositary shares, each representing 0.05 common share, par value W10,000 per share (Title of Class of Securities) 25862B109 (CUSIP Number) December 31, 2023 (Date of Event which Requires Filing |
|
| February 13, 2024 |
MCHX / Marchex, Inc. / B. Riley Financial, Inc. - AMENDMENT NO. 2 TO SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Marchex, Inc. (Name of Issuer) Class B Common Stock, $0.01 par value per share (Title of Class of Securities) 56624R108 (CUSIP Number) December 31, 2023 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the ru |
|
| February 13, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 The Real Good Food Company, Inc. (Name of Issuer) Class A Common Stock, $0.0001 par value per share (Title of Class of Securities) 75601G109 (CUSIP Number) December 31, 2023 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the |
|
| February 9, 2024 |
SC 13D/A 1 ea193302-13da13brileyalta.htm AMENDMENT NO. 13 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 13) ALTA EQUIPMENT GROUP INC. (Name of Issuer) Common stock, $0.0001 par value per share (Title of Class of Securities) 02128L106 (CUSIP Number) Bryant R. Riley B. Riley Financial, Inc |
|
| January 22, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 18, 2024 B. RILEY FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction of incorporation) (Commissi |
|
| January 22, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 15)* Babcock & Wilcox Enterprises, Inc. (Name of Issuer) Common Stock, par value $0.01 (Title of Class of Securities) 05614L100 (CUSIP Number) Bryant R. Riley B. Riley Financial, Inc. 11100 Santa Monica Boulevard, Suite 800 Los Angeles, CA 90025 (818) 884-37 |
|
| January 22, 2024 |
Exhibit 3 B. RILEY FINANCIAL, INC. 11100 Santa Monica Blvd. Suite 800 Los Angeles, CA 90025 Babcock & Wilcox Enterprises, Inc. 1200 E Market Street – Suite 650 Akron, OH 44305 USA January 18, 2024 Fee and Reimbursement Agreement Ladies and Gentlemen: This Fee and Reimbursement Agreement (this “Agreement”) is delivered in connection with that certain Guaranty, dated as the date hereof (as amended, |
|
| January 22, 2024 |
Exhibit 10.1 Exhibit C EXECUTION COPY GUARANTY GUARANTY (this “Guaranty”), dated as of January 18, 2024, by B. RILEY FINANCIAL, INC. (the “Guarantor”), in favor of (i) AXOS BANK, in its capacity as administrative agent (in such capacity, the “Administrative Agent”) for the Secured Parties (as defined in the Credit Agreement referred to below), and (ii) such Secured Parties. W I T N E S S E T H WHE |
|
| December 26, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 14)* Babcock & Wilcox Enterprises, Inc. (Name of Issuer) Common Stock, par value $0.01 (Title of Class of Securities) 05614L100 (CUSIP Number) Bryant R. Riley B. Riley Financial, Inc. 11100 Santa Monica Boulevard, Suite 800 Los Angeles, CA 90025 (818) 884-37 |
|
| December 13, 2023 |
Exhibit 99.1 1 Investor Overview D e c e m b e r 1 3 , 2 0 23 Forward - looking Statements Statements made in this presentation that are not descriptions of historical facts are forward - looking statements that are based on management’s current expectations and assumptions and are subject to risks and uncertainties . If such risks or uncertainties materialize or such assumptions prove incorrect, |
|
| December 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 13, 2023 B. RILEY FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction of incorporation) (Commiss |
|
| December 4, 2023 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13D-1(A) AND AMENDMENTS THERETO FILED Pursuant to § 240.13d-2(a) UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 11)* The Arena Group Holdings, Inc. (Name of Issuer) Common Stock, par value $0.01 (Title of Class of Securities) 040044109 (CU |
|
| December 4, 2023 |
Securities Purchase and Assignment Agreement, dated as of November 30,2023 Exhibit 7 EXECUTION VERSION SECURITIES PURCHASE AND ASSIGNMENT AGREEMENT This SECURITIES Purchase and Assignment Agreement (this “Agreement”) is entered into and is effective as of November 30, 2023 (the “Effective Date”), by and among (x) BRF FINANCE CO. |
|
| December 4, 2023 |
Stock Purchase Agreement, dated as of November 30,2023 EX-99.6 2 ea189323ex99-6arena.htm STOCK PURCHASE AGREEMENT, DATED AS OF NOVEMBER 30, 2023 Exhibit 6 EXECUTION VERSION STOCK PURCHASE AGREEMENT This STOCK PURCHASE AGREEMENT (this “Agreement”), dated as of November 30, 2023, by and among Simplify Inventions, LLC, a Delaware limited liability company (the “Purchaser”), the Persons set forth on the signature pages hereto under the heading “Seller” (e |
|
| November 9, 2023 |
Third Quarter 2023 Supplemental Financial Data dated November 9, 2023 Exhibit 99.1 |
|
| November 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 9, 2023 B. RILEY FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction (Commission File Number) (I |
|
| November 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 Or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Numbe |
|
| November 8, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 8, 2023 B. RILEY FINANCIAL, INC (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction of incorporation) (Commissio |
|
| November 8, 2023 |
Exhibit 99.1 B. Riley Financial Reports Third Quarter 2023 Results; Declares Quarterly Dividend of $1.00 per share Board authorizes $50 million annual share repurchase plan LOS ANGELES, November 8, 2023 – B. Riley Financial, Inc. (NASDAQ: RILY) (“B. Riley” or the “Company”), a diversified financial services platform, today released results for the three-month and nine-month period ending September |
|
| November 1, 2023 |
Joint Filing Agreement by and among the Reporting Persons Exhibit 1 JOINT FILING AGREEMENT Pursuant to and in accordance with the Securities Exchange Act of 1934, as amended, and the rules and regulations thereunder (the “Exchange Act”) the undersigned hereby agree to the joint filing on behalf of each of them of any filing required by such party under Section 13 of the Exchange Act or any rule or regulation thereunder (including any amendment, restatement, supplement, and/or exhibit thereto) with respect to securities of Synchronoss Technologies, Inc. |
|
| November 1, 2023 |
SC 13D/A 1 ea187581-13da5brileysynchro.htm AMENDMENT NO. 5 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5) Synchronoss Technologies, Inc. (Name of Issuer) Common Stock, par value $0.0001 par value (Title of Class of Securities) 87157B103 (CUSIP Number) Bryant R. Riley B. Riley Financial |
|
| August 25, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 21, 2023 B. RILEY FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction of incorporation) (Commissio |
|
| August 25, 2023 |
Exhibit 10.1 Execution Version $600,000,000 CREDIT AGREEMENT, dated as of August 21, 2023, among B. Riley Financial, Inc., as Ultimate Parent, BR Financial Holdings, LLC, as Borrower, THE LENDERS PARTY HERETO FROM TIME TO TIME Nomura Corporate Funding Americas, LLC, as Administrative Agent and COMPUTERSHARE TRUST COMPANY, N.A., as Collateral Agent TABLE OF CONTENTS Page Article I. DEFINITIONS 1 Se |
|
| August 16, 2023 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13D-1(A) AND AMENDMENTS THERETO FILED Pursuant to § 240.13d-2(a) UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 10)* The Arena Group Holdings, Inc. (Name of Issuer) Common Stock, par value $0.01 (Title of Class of Securities) 040044109 (CU |
|
| August 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 9, 2023 B. RILEY FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or Other Jurisdiction of Incorporation) (Commission |
|
| August 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 Or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001 |
|
| August 9, 2023 |
Exhibit 99.1 B. Riley Financial Reports Second Quarter 2023 Results; Quarterly Dividend of $1.00 per share Payable August 21, 2023 Reaffirms Q3 2023 Guidance for Operating Adjusted EBITDA of at least $105 million LOS ANGELES, August 9, 2023 – B. Riley Financial, Inc. (NASDAQ: RILY) (“B. Riley” or the “Company”), a diversified financial services platform, today released results for the three-month |
|
| August 9, 2023 |
Exhibit 99.2 1 August 9, 2023 NASDAQ: RILY Second Quarter 2023 Supplemental Financial Data 2 Reconciliation of U.S. GAAP to Non - GAAP Measures (Unaudited, dollars in thousands) Q2 2022 Q3 2022 Q4 2022 Q1 2023 Q2 2023 Adj. EBITDA and Operating Adj. EBITDA Reconciliation Net (loss) income attributable to B. Riley Financial, Inc. $ (140,159) $ 47,837 $ (57,445) $ 17,155 $ 46,381 EBITDA Adjustments: |
|
| August 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 12) ALTA EQUIPMENT GROUP INC. (Name of Issuer) Common stock, $0.0001 par value per share (Title of Class of Securities) 02128L106 (CUSIP Number) Bryant R. Riley B. Riley Financial, Inc. 11100 Santa Monica Blvd., Suite 800 Los Angeles, CA 90025 (818) 884-3737 |
|
| July 28, 2023 |
Exhibit 99.2 B. Riley Financial Closes $115 Million Common Stock Offering Including Full Exercise of Underwriter Option LOS ANGELES, July 28, 2023 – B. Riley Financial, Inc. (NASDAQ: RILY) (“B. Riley” or the “Company”), a diversified financial services platform, today announced the closing of its previously announced underwritten public offering of 2,090,909 shares of common stock (the “Offering”) |
|
| July 28, 2023 |
Exhibit 1.1 B. RILEY FINANCIAL, INC. COMMON STOCK UNDERWRITING AGREEMENT July 25, 2023 B. Riley Securities, Inc. 299 Park Avenue, 21st Floor New York, NY 10171 Ladies and Gentlemen: B. Riley Financial, Inc., a Delaware corporation (the “Company”), proposes to issue and sell to the B. Riley Securities, Inc. (the “Underwriter”), 1,818,182 shares of common stock (the “Firm Shares”), par value $0.0001 |
|
| July 28, 2023 |
B. Riley Financial Announces Pricing of $100 Million Common Stock Offering Exhibit 99.1 B. Riley Financial Announces Pricing of $100 Million Common Stock Offering LOS ANGELES, July 26, 2023 – B. Riley Financial, Inc. (NASDAQ: RILY) (“B. Riley” or the “Company”), a diversified financial services platform, today announced it has priced an underwritten public offering of 1,818,182 shares of its common stock (the “Offering”) at a price of $55.00 per share. Certain of the Com |
|
| July 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 28, 2023 (July 25, 2023) B. RILEY FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or Other Jurisdiction of Incorporati |
|
| July 27, 2023 |
Filed pursuant to Rule 424(b)(5) Registration No. 333-252513 PROSPECTUS SUPPLEMENT (To prospectus dated January 28, 2021) 1,818,182 Shares Common Stock B. Riley Financial, Inc. is offering 1,818,182 shares of our common stock, pursuant to this prospectus supplement and the accompanying prospectus. Our common stock is traded on the NASDAQ Global Market under the symbol “RILY.” On July 24, 2023, the |
|
| July 27, 2023 |
1,818,182 shares of Common Stock Filed pursuant to Rule 424(b)(5) Registration No. 333-252513 AMENDMENT NO. 1 DATED JULY 27, 2023 to Prospectus Supplement dated July 25, 2023 (To Prospectus dated January 28, 2021) 1,818,182 shares of Common Stock This Amendment No. 1 to Prospectus Supplement (“Amendment”) amends our final prospectus supplement dated July 25, 2023 (“Prospectus Supplement”), and the accompanying prospectus dated Ja |
|
| July 27, 2023 |
Exhibit 107 Calculation of Filing Fee Table 424(b)(5) (Form Type) B. Riley Financial, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Fees to be Paid Equity Common Sto |
|
| July 25, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 25, 2023 B. RILEY FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction of incorporation) (Commission |
|
| July 25, 2023 |
Exhibit 99.1 B. Riley Financial Announces Preliminary Second Quarter 2023 Results and Guidance for Third Quarter 2023; Declares $1.00 Dividend LOS ANGELES, July 25, 2023 – B. Riley Financial, Inc. (NASDAQ: RILY) (“B. Riley” or the “Company”), a diversified financial services platform, today announced certain preliminary unaudited financial results for the three-month and six-month period ending Ju |
|
| July 25, 2023 |
SUBJECT TO COMPLETION, DATED JULY 25, 2023 Filed pursuant to Rule 424(b)(5) Registration No. 333-252513 The information in this preliminary prospectus supplement and the accompanying prospectus is not complete and may be changed. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell these securities, and they are not soliciting an offer to buy these securities in any jurisdiction where the offer or |
|
| July 25, 2023 |
B. Riley Financial Announces Proposed Public Offering of Common Stock Exhibit 99.2 B. Riley Financial Announces Proposed Public Offering of Common Stock LOS ANGELES, July 25, 2023 – B. Riley Financial, Inc. (NASDAQ: RILY) (“B. Riley” or the “Company”), a diversified financial services platform, today announced it has commenced an underwritten public offering of $100 million of its common stock (the “Offering”), subject to market and certain other conditions. The Com |
|
| July 25, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 11) ALTA EQUIPMENT GROUP INC. (Name of Issuer) Common stock, $0.0001 par value per share (Title of Class of Securities) 02128L106 (CUSIP Number) Bryant R. Riley B. Riley Financial, Inc. 11100 Santa Monica Blvd., Suite 800 Los Angeles, CA 90025 (818) 884-3737 |
|
| July 25, 2023 |
Exhibit 99.3 1 Investor Overview July 2023 2 Forward - looking Statements Statements made in this presentation that are not descriptions of historical facts are forward - looking statements that are based on management’s current expectations and assumptions and are subject to risks and uncertainties . If such risks or uncertainties materialize or such assumptions prove incorrect, our business, ope |
|
| June 27, 2023 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13D-1(A) AND AMENDMENTS THERETO FILED Pursuant to § 240.13d-2(a) UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 9)* The Arena Group Holdings, Inc. (Name of Issuer) Common Stock, par value $0.01 (Title of Class of Securities) 040044109 (CUS |
|
| June 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3) B. Riley Principal 250 Merger Corp. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 05602L104 (CUSIP Number) Bryant R. Riley B. Riley Financial, Inc. 11100 Santa Monica Blvd, Suite 800 Los Angeles, CA 90025 (818) 884-3737 Copy to: Joe |
|
| May 30, 2023 |
B. Riley - Code of Business Conduct and Exhibit 14.1 POLICY STATEMENT Subject: Code of Business Conduct and Ethics Date Issued: September 25, 2009 Date Amended: November 10, 2014 Date Amended: February 16, 2017 Date Amended: May 21, 2019 Date Amended: February 23, 2021 Date Amended: May 23, 2023 Approved by: Board of Directors Date: May 23, 2023 Distribution: Introduction Set forth herein is the Code of Business Conduct and Ethics (the |
|
| May 30, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 23, 2023 B. RILEY FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction of incorporation) (Commission F |
|
| May 11, 2023 |
Exhibit 10.1 May 10, 2023 Freedom VCM, Inc. VCM Holdings, LLC c/o Vintage Capital Management, LLC 8529 Southpark Circle, Suite 150 Orlando, Florida 32819 Attention: Brian R. Kahn Ladies and Gentlemen: Reference is made to the Agreement and Plan of Merger (as the same may be amended, modified or restated in accordance with the terms thereof, the “Merger Agreement”), dated as of the date hereof, by |
|
| May 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 11, 2023 (May 10, 2023) B. RILEY FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction of incorporation |
|
| May 11, 2023 |
Exhibit 10.2 LIMITED GUARANTEE THIS LIMITED GUARANTEE, dated as of May 10, 2023 (this “Limited Guarantee”), is made by B. Riley Financial, Inc., a Delaware corporation (the “Guarantor”), in favor of Franchise Group, Inc., a Delaware corporation (the “Company”). Reference is hereby made to that certain Agreement and Plan of Merger, dated as of the date hereof (without regard to any amendments there |
|
| May 10, 2023 |
Exhibit 99.1 Franchise Group, Inc. Announces Definitive Agreement to Be Acquired by a Consortium Led by Management Group Franchise Group Common Stockholders to Receive $30.00 per Share in Cash Transaction Implies 31.9% Premium Over the Unaffected Stock Price Prior to Announcement on March 20, 2023 of Receipt of Unsolicited Third Party Proposal Transaction Includes a 30 day Go Shop Provision to Sol |
|
| May 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2) B. Riley Principal 250 Merger Corp. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 05602L104 (CUSIP Number) Bryant R. Riley B. Riley Financial, Inc. 11100 Santa Monica Blvd, Suite 800 Los Angeles, CA 90025 (818) 884-3737 Copy to: Joe |
|
| May 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 10, 2023 B. RILEY FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction of incorporation) (Commission F |
|
| May 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 Or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 00 |
|
| May 4, 2023 |
Exhibit 99.2 1 NASDAQ: RILY First Quarter 2023 Supplemental Financial Data May 4, 2023 Reconciliation of U.S. GAAP to Non - GAAP Measures 2 Q1 2023 Q4 2022 Q3 2022 Q2 2022 Q1 2022 (Unaudited, dollars in thousands) Adj. EBITDA and Operating Adj. EBITDA Reconciliation $ 17,155 $ (57,445) $ 47,837 $ (140,159) $ (10,062) Net (loss) income attributable to B. Riley Financial, Inc. EBITDA Adjustments: 7, |
|
| May 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 4, 2023 B. RILEY FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction of incorporation) (Commission Fi |
|
| May 4, 2023 |
B. Riley Financial Reports First Quarter 2023 Results; Declares $1.00 Dividend Exhibit 99.1 B. Riley Financial Reports First Quarter 2023 Results; Declares $1.00 Dividend LOS ANGELES, May 4, 2023 – B. Riley Financial, Inc. (NASDAQ: RILY) (“B. Riley” or the “Company”), a diversified financial services platform, today released results for the three-month period ending March 31, 2023. Q1 2023 Financial Highlights ● Total revenues increased 75% to $432.1 million ● Net income of |
|
| April 18, 2023 |
SC 13D/A 1 ea177132-13da1brileycharah.htm AMENDMENT NO. 1 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1) Charah Solutions, Inc. (Name of Issuer) Common Stock, par value $0.01 par value (Title of Class of Securities) 15957P105 (CUSIP Number) Bryant R. Riley B. Riley Financial, Inc. 1110 |
|
| April 18, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 10) ALTA EQUIPMENT GROUP INC. (Name of Issuer) Common stock, $0.0001 par value per share (Title of Class of Securities) 02128L106 (CUSIP Number) Bryant R. Riley B. Riley Financial, Inc. 11100 Santa Monica Blvd., Suite 800 Los Angeles, CA 90025 (818) 884-3737 |
|
| April 18, 2023 |
Joint Filing Agreement by and among the Reporting Persons. EX-11 2 ea177130ex-11alta.htm JOINT FILING AGREEMENT BY AND AMONG THE REPORTING PERSONS Exhibit 11 JOINT FILING AGREEMENT Pursuant to and in accordance with the Securities Exchange Act of 1934, as amended, and the rules and regulations thereunder (the “Exchange Act”) the undersigned hereby agree to the joint filing on behalf of each of them of any filing required by such party under Section 13 of |
|
| April 18, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant To Section 14(A) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy State |
|
| April 14, 2023 |
Exhibit 10.6 AMENDED AND RESTATED EMPLOYMENT AGREEMENT THIS AMENDED AND RESTATED EMPLOYMENT AGREEMENT (“Agreement”) is entered into by and between B. Riley Financial, Inc. (the “Company”) and Kenneth M. Young (“Executive”), effective as of April 11, 2023 (“Effective Date”). WHEREAS, the Company desires to continue to retain the services of Executive, and Executive desires to continue to be employe |
|
| April 14, 2023 |
Exhibit 10.2 AMENDED AND RESTATED EMPLOYMENT AGREEMENT THIS AMENDED AND RESTATED EMPLOYMENT AGREEMENT (“Agreement”) is entered into by and between B. Riley Financial, Inc. (the “Company”) and Thomas J. Kelleher (“Executive”), effective as of April 11, 2023 (“Effective Date”). WHEREAS, the Company desires to continue to retain the services of Executive, and Executive desires to continue to be emplo |
|
| April 14, 2023 |
Exhibit 10.3 AMENDED AND RESTATED EMPLOYMENT AGREEMENT THIS AMENDED AND RESTATED EMPLOYMENT AGREEMENT (“Agreement”) is entered into by and between B. Riley Financial, Inc. (the “Company”) and Phillip J. Ahn (“Executive”), effective as of April 11, 2023 (“Effective Date”). WHEREAS, the Company desires to continue to retain the services of Executive, and Executive desires to continue to be employed |
|
| April 14, 2023 |
Exhibit 10.1 AMENDED AND RESTATED EMPLOYMENT AGREEMENT THIS AMENDED AND RESTATED EMPLOYMENT AGREEMENT (“Agreement”) is entered into by and between B. Riley Financial, Inc. (the “Company”) and Bryant R. Riley (“Executive”), effective as of April 11, 2023 (“Effective Date”). WHEREAS, the Company desires to continue to retain the services of Executive, and Executive desires to continue to be employed |
|
| April 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 11, 2023 B. RILEY FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction of incorporation) (Commission |
|
| April 14, 2023 |
Exhibit 10.4 AMENDED AND RESTATED EMPLOYMENT AGREEMENT THIS AMENDED AND RESTATED EMPLOYMENT AGREEMENT (“Agreement”) is entered into by and between B. Riley Financial, Inc. (the “Company”) and Alan N. Forman (“Executive”), effective as of April 11, 2023 (“Effective Date”). WHEREAS, the Company desires to continue to retain the services of Executive, and Executive desires to continue to be employed |
|
| April 14, 2023 |
Exhibit 10.5 AMENDED AND RESTATED EMPLOYMENT AGREEMENT THIS AMENDED AND RESTATED EMPLOYMENT AGREEMENT (“Agreement”) is entered into by and between B. Riley Securities, Inc. (the “Company”) and Andrew Moore (“Executive”), effective as of April 11, 2023 (“Effective Date”). WHEREAS, the Company desires to continue to retain the services of Executive, and Executive desires to continue to be employed b |
|
| March 31, 2023 |
THE ARENA GROUP HOLDINGS, INC. COMMON STOCK PURCHASE AGREEMENT Exhibit 5 THE ARENA GROUP HOLDINGS, INC. COMMON STOCK PURCHASE AGREEMENT This Common Stock Purchase Agreement (this “Agreement”) is dated as of March 30, 2023, between The Arena Group Holdings, Inc., a Delaware corporation (the “Company”), and the purchaser listed on the signature page hereto (including its successors and assigns, the “Purchaser”). WHEREAS, subject to the terms and conditions set |
|
| March 31, 2023 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13D-1(A) AND AMENDMENTS THERETO FILED Pursuant to § 240.13d-2(a) UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 8)* The Arena Group Holdings, Inc. (Name of Issuer) Common Stock, par value $0.01 (Title of Class of Securities) 040044109 (CUS |
|
| March 22, 2023 |
Exhibit 4 Execution Version PRIVILEGED AND CONFIDENTIAL NON-DISCLOSURE AGREEMENT This NON-DISCLOSURE AGREEMENT (this “Agreement”) is being entered into as of March 17, 2023 between Synchronoss Technologies, Inc. |
|
| March 22, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4) Synchronoss Technologies, Inc. (Name of Issuer) Common Stock, par value $0.0001 par value (Title of Class of Securities) 87157B103 (CUSIP Number) Bryant R. Riley B. Riley Financial, Inc. 11100 Santa Monica Boulevard, Suite 800 Los Angeles, CA 90025 (818) |
|
| March 16, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1) (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 Or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-3 |
|
| March 16, 2023 |
Consent of Deloitte & Touche LLP.* Exhibit 23.02 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the incorporation by reference in Registration Statement Nos. 333-203534, 333-221715 and 333-252513 on Form S-3 and Registration Statement Nos. 333-202876, 333-218457, 333-226589 and 333-234453 on Form S-8 of B. Riley Financial, Inc. of our report dated March 16, 2023, relating to the financial statements of Babco |
|
| March 16, 2023 |
Exhibit 31.04 CERTIFICATION OF CO-CHIEF EXECUTIVE OFFICER PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, Bryant R. Riley, certify that: 1. I have reviewed this Annual Report on Form 10-K/A of B. Riley Financial, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, i |
|
| March 16, 2023 |
Exhibit 31.05 CERTIFICATION OF CO-CHIEF EXECUTIVE OFFICER PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, Thomas J. Kelleher, certify that: 1. I have reviewed this Annual Report on Form 10-K/A of B. Riley Financial, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made |
|
| March 16, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 16, 2023 B. RILEY FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction of incorporation) (Commission |
|
| March 16, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 Or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-375 |
|
| March 16, 2023 |
Exhibit 31.06 CERTIFICATION OF CHIEF FINANCIAL OFFICER PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, Phillip J. Ahn, certify that: 1. I have reviewed this Annual Report on Form 10-K/A of B. Riley Financial, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in li |
|
| March 16, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 15, 2023 B. RILEY FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction of incorporation) (Commission |
|
| March 16, 2023 |
Exhibit 32.05 CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002 In connection with the Annual Report on Form 10-K/A of B. Riley Financial, Inc. (the “Company”) during the year ended December 31, 2022 as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Thomas J. Kelleher, Co-Chief Executive O |
|
| March 16, 2023 |
Exhibit 32.06 CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002 In connection with the Annual Report on Form 10-K/A of B. Riley Financial, Inc. (the “Company”) during the year ended December 31, 2022 as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Phillip J. Ahn, Chief Financial Officer |
|
| March 16, 2023 |
B. Riley Financial Files 2022 Annual Report on Form 10-K Exhibit 99.1 B. Riley Financial Files 2022 Annual Report on Form 10-K LOS ANGELES, March 16, 2023 – B. Riley Financial, Inc. (NASDAQ: RILY) (“B. Riley” or the “Company”), a diversified financial services platform, today announced the filing of its Annual Report on Form 10-K for the fiscal year ended December 31, 2022. Certain previously issued financial statements have been restated to correct the |
|
| March 16, 2023 |
Description of Registered Securities Exhibit 4.29 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 B. Riley Financial, Inc. has ten classes of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”): (1) our common stock, par value $0.0001 per share (“Common Stock”); (2) our depositary shares (each representing a |
|
| March 16, 2023 |
Exhibit 32.04 CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002 In connection with the Annual Report on Form 10-K/A of B. Riley Financial, Inc. (the “Company”) during the year ended December 31, 2022 as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Bryant R. Riley, Co-Chief Executive Offi |
|
| March 16, 2023 |
EX-99.2 3 ea175267ex99-2brileyfin.htm FOURTH QUARTER 2022 SUPPLEMENTAL FINANCIAL DATA DATED MARCH 15, 2023 Exhibit 99.2 1 NASDAQ: RILY Fourth Quarter 2022 Supplemental Financial Data March 16, 2023 Reconciliation of U.S. GAAP to Non - GAAP Measures 2 (Unaudited, dollars in thousands) Q4 2021 Q1 2022 Q2 2022 Q3 2022 Q4 2022 Adj. EBITDA and Operating Adj. EBITDA Reconciliation Net income (loss) attr |
|
| March 16, 2023 |
Exhibit 21.1 Subsidiaries of B. Riley Financial, Inc. – December 31, 2022 Jurisdiction of Organization/ Subsidiary Incorporation 272 Advisors LLC (90% Ownership)* Delaware ABJ5, LLC Delaware ANNETNAUS (ASSIGNMENT FOR THE BENEFIT OF CREDITORS), LLC California Asset & Financial Planning, LTD. New York Atlantic Coast Recycling of Ocean County, LLC Delaware Atlantic Coast Recycling, LLC Delaware B. Ri |
|
| March 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3) Synchronoss Technologies, Inc. (Name of Issuer) Common Stock, par value $0.0001 par value (Title of Class of Securities) 87157B103 (CUSIP Number) Bryant R. Riley B. Riley Financial, Inc. 11100 Santa Monica Boulevard, Suite 800 Los Angeles, CA 90025 (818) |
|
| March 13, 2023 |
11100 Santa Monica Blvd., Suite 800 Exhibit 3 11100 Santa Monica Blvd., Suite 800 Los Angeles, CA 90025 Tel: (310) 966-1444 www.brileyfin.com March 10, 2023 Board of Directors Synchronoss Technologies Inc. 200 Crossing Blvd. Bridgewater, NJ 08807 Attention: Jeff Miller President and CEO Re: Proposed Transaction Dear Jeff: B. Riley Financial, Inc. (“we” or “B. Riley”) is pleased to submit this non-binding proposal with respect to the |
|
| March 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 3, 2023 B. RILEY FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction of incorporation) (Commission |
|
| March 1, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING Commission File Number: 001-37503 CUSIP: 05580M 108 (Check One): ☒ Form 10-K ☐ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form 10-D ☐ Form N-CEN ☐ Form N-CSR For Period Ended: December 31, 2022 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ |
|
| February 22, 2023 |
Fourth Quarter 2022 Supplemental Financial Data dated February 22, 2023 Exhibit 99.2 |
|
| February 22, 2023 |
Exhibit 99.1 B. Riley Financial Reports Fourth Quarter and Full Year 2022 Results; Declares $1.00 Dividend Q4 2022 GAAP Net Loss of ($59.4 million) Q4 2022 Total Revenues of $326.8 million Q4 2022 Operating Revenues of $450.4 million Q4 2022 Operating Adjusted EBITDA of $101.8 million, had guided to $90-100 million Q4 2022 Investment loss of ($123.5 million), had guided to ($125-$150 million) Decl |
|
| February 22, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 22, 2023 B. RILEY FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or other jurisdiction of incorporation) (Commiss |
|
| February 9, 2023 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* B. Riley Financial, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 05580M 108 (CUSIP Number) Fred Goldman c/o Equitec Group LLC 111 W. Jackson Blvd., Suite 2220 Chicago, Illinois 60604 (312) 692-5007 (Name, Address and Te |
|
| February 9, 2023 |
EX-99.1 2 ea173093ex99-1briley.htm JOINT FILING AGREEMENT Exhibit 99.1 Joint Filing Agreement In accordance with Rule 13d-1(k) or the Securities Exchange Act of 1934, as amended, the undersigned acknowledge and agree that the foregoing Schedule 13D is filed on behalf of each of the undersigned and that all subsequent amendments thereto may be filed on behalf of each of the undersigned without the |
|
| February 9, 2023 |
Transactions of the Reporting Persons Effected Since the Last 13D Filing. Exhibit 99.2 Activity Type Symbol/Description Trade Date Quantity Local Currency Price Local Currency Principal Amount Buy RILY 2022-05-24 8,869 48.7397000000 (432,272.40 ) Buy RILY 2022-06-01 3,309 53.4585000000 (176,894.18 ) Buy RILY 2022-06-03 601 54.3748000000 (32,679.25 ) Buy RILY 2022-06-07 5,302 54.5283000000 (289,109.05 ) Buy RILY 2022-06-08 11,300 52.8097000000 (596,749.61 ) Buy RILY 2022 |
|
| February 3, 2023 |
MCHX / Marchex, Inc. / B. Riley Financial, Inc. - AMENDMENT NO. 1 TO SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Marchex, Inc. (Name of Issuer) Class B Common Stock, $0.01 par value per share (Title of Class of Securities) 56624R108 (CUSIP Number) December 31, 2022 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the ru |
|
| February 3, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* DoubleDown Interactive Co., Ltd. (Name of Issuer) American depositary shares, each representing 0.05 common share, par value W10,000 per share (Title of Class of Securities) 25862B109 (CUSIP Number) December 31, 2022 (Date of Event which Requires Filing |
|
| December 30, 2022 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO ? 240.13D-1(A) AND AMENDMENTS THERETO FILED Pursuant to ? 240.13d-2(a) UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 7)* The Arena Group Holdings, Inc. (Name of Issuer) Common Stock, par value $0.01 (Title of Class of Securities) 040044109 (CUS |
|
| December 29, 2022 |
SC 13G/A 1 ea170991-13ga1brileyjourney.htm AMENDMENT NO. 1 TO SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Journey Medical Corporation (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 48115J109 (CUSIP Number) December 27, 2022 (Date of Event whi |
|
| December 15, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) Under the Securities Exchange Act of 1934 (Amendment No. 2)* FaZe Holdings Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 31423J 102 (CUSIP Number) Bryant R. Riley B. Riley Financial, Inc. 11100 Santa Monica Blvd, Suite 800 Los Angeles, CA 90025 (818) 884-3737 (Name, Address and T |
|
| November 15, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 15, 2022 B. Riley FinanCIAl, Inc. (Exact name of registrant as specified in its charter) Delaware 001-37503 27-0223495 (State or Other Jurisdiction of Incorporation) (Commiss |
|
| November 15, 2022 |
Up to $60,000,000 of 6.75% Senior Notes Due 2024 Up to 227,491 shares of Common Stock Filed Pursuant to 424(b)(7) File No. 333-252513 PROSPECTUS SUPPLEMENT (To Prospectus dated January 28, 2021) Up to $60,000,000 of 6.75% Senior Notes Due 2024 Up to 227,491 shares of Common Stock The selling securityholders of B. Riley Financial, Inc. (“B. Riley Financial,” “we,” “us” or the “Company”) listed under the heading “Selling Securityholders” may offer and resell up to $60,000,000 of our |
|
| November 15, 2022 |
Exhibit 107 Calculation of Filing Fee Table 424(b)(7) (Form Type) B. Riley Financial, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Fees to be Paid Equity Common Sto |
|
| November 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5) Lazydays Holdings, Inc. (Name of Issuer) Common Stock, par value $0.0001 par value (Title of Class of Securities) 52110H100 (CUSIP Number) Bryant R. Riley B. Riley Financial, Inc. 11100 Santa Monica Boulevard, Suite 800 Los Angeles, CA 90025 (818) 884-373 |
