Current Report Filing (8-k)
October 30 2019 - 4:18PM
Edgar (US Regulatory)
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, 2019
B. RILEY FINANCIAL, INC.
(Exact name of registrant as specified in
its charter)
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Delaware
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001-37503
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27-0223495
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(State or Other Jurisdiction
of Incorporation)
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(Commission File Number)
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(IRS Employer
Identification No.)
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21255 Burbank Boulevard, Suite 400
Woodland Hills, California 91367
(818) 884-3737
(Address, Including Zip Code, and Telephone Number, Including Area Code,
of Registrant’s Principal Executive Offices)
Securities registered pursuant to Section 12(b)
of the Act:
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Title of each class
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Trading Symbol(s)
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Name of each exchange on which registered
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Common Stock, par value $0.0001 per share
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RILY
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Nasdaq Global Market
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Depositary Shares (each representing a 1/1000th interest in a 6.875% Series A Cumulative Perpetual Preferred Share, par value $0.0001 per share)
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RILYP
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Nasdaq Global Market
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7.25% Senior Notes due 2027
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RILYG
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Nasdaq Global Market
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7.50% Senior Notes due 2027
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RILYZ
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Nasdaq Global Market
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7.375% Senior Notes due 2023
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RILYH
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Nasdaq Global Market
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6.875% Senior Notes due 2023
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RILYI
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Nasdaq Global Market
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7.50% Senior Notes due 2021
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RILYL
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Nasdaq Global Market
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6.75% Senior Notes due 2024
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RILYO
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Nasdaq Global Market
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6.50% Senior Notes due 2026
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RILYN
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Nasdaq Global Market
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(Title of Class)
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Not Applicable
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form 8-K
filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
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☐
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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☐
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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☐
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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☐
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Indicate by check mark whether the registrant
is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2
of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company ☐
If an emerging growth company, indicate
by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial
accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Item 2.02. Results of Operations and Financial
Condition.
On October 30, 2019,
B. Riley Financial, Inc. issued a press release reporting its financial results for the third quarter ended September 30, 2019.
A copy of the press release is attached hereto as Exhibit 99.1.
The information set
forth in this Current Report, including Exhibit 99.1 attached hereto, is being furnished and shall not be deemed “filed”
for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject
to the liabilities of such section. The information in this Current Report, including Exhibit 99.1 attached hereto, shall not be
incorporated by reference into any filing under the Securities Act of 1933, as amended, or the Exchange Act, except as expressly
set forth by specific reference in such a filing to this Current Report.
Item 9.01. Financial Statements and
Exhibits.
(d) Exhibits
SIGNATURES
Pursuant to the requirements
of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned
hereunto duly authorized.
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October 30, 2019
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B. RILEY FINANCIAL, INC.
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By:
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/s/ Phillip J. Ahn
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Name:
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Phillip J. Ahn
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Title:
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Chief Financial Officer and
Chief Operating Officer
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2
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