Current Report Filing (8-k)
October 29 2020 - 4:07PM
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 29, 2020
B. RILEY FINANCIAL, INC.
(Exact name of registrant as specified in its
charter)
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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11100 Santa Monica Blvd., Suite 800
Los Angeles, CA 90025
310 - 966-1444
(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:
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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Depositary Shares (each representing a 1/1000th interest in a 7.375% Series B Cumulative Perpetual Preferred Share, par value $0.0001 per share)
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RILYL
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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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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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6.375% Senior Notes due 2025
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RILYM
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Nasdaq Global Market
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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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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 29, 2020, B.
Riley Financial, Inc. (the “Company”) issued a press release reporting its financial results for the fiscal quarter
ended September 30, 2020. A copy of the press release is attached hereto as Exhibit 99.1.
Item 7.01. Regulation FD Disclosure.
Additionally, on October
29, 2020, in conjunction with the press release described above, the Company posted to its website at https://ir.brileyfin.com/events-and-presentations,
certain supplemental financial information for the fiscal quarter ended September 30, 2020 and certain prior periods. A copy of
the information is attached hereto as Exhibit 99.2.
The information set forth
in this Current Report, including Exhibits 99.1 and 99.2 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 Exhibits 99.1 and 99.2 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
SIGNATURE
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.
October 29, 2020
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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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false
0001464790
0001464790
2020-10-29
2020-10-29
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