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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)     (IRS Employer
of incorporation)         Identification No.)

 

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:

 

        Name of each exchange on which
Title of each class Trading Symbol(s) registered
Common Stock, par value $0.0001 per share   RILY   Nasdaq Global Market
Depositary Shares (each representing a 1/1000th interest in a 6.875% Series A Cumulative Perpetual Preferred Share, par value $0.0001 per share) RILYP Nasdaq Global Market
Depositary Shares, each representing a 1/1000th fractional interest in a 7.375% share of Series B Cumulative Perpetual Preferred Stock RILYL Nasdaq Global Market
6.75% Senior Notes due 2024 RILYO Nasdaq Global Market
6.375% Senior Notes due 2025 RILYM Nasdaq Global Market
5.00% Senior Notes due 2026 RILYG Nasdaq Global Market
5.50% Senior Notes due 2026 RILYK Nasdaq Global Market
6.50% Senior Notes due 2026 RILYN Nasdaq Global Market
5.25% Senior Notes due 2028 RILYZ Nasdaq Global Market
6.00% Senior Notes due 2028 RILYT Nasdaq Global Market

 

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:

 

☐Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

☐Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

☐Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

☐Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

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 7.01. Regulation FD Disclosure.

 

On November 9, 2023, the Company posted to its website at https://ir.brileyfin.com/events-and-presentations, supplemental financial information for the fiscal quarter ended September 30, 2023 and certain prior periods. A copy of the information 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

 

Exhibit No.   Description
99.1  

Third Quarter 2023 Supplemental Financial Data dated November 9, 2023

     
104   Cover Page Interactive Data File (embedded within the Inline XBRL document)

 

 

 

 

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.

 

  B. Riley Financial, Inc.
   
  By: /s/ Phillip J. Ahn
  Name: Phillip J. Ahn
  Title: Chief Financial Officer and Chief Operating Officer
     
Date: November 9, 2023    

 

 

 

 Exhibit 99.1

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

v3.23.3
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Nov. 09, 2023
Document Type 8-K
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Document Period End Date Nov. 09, 2023
Entity File Number 001-37503
Entity Registrant Name B. RILEY FINANCIAL, INC.
Entity Central Index Key 0001464790
Entity Tax Identification Number 27-0223495
Entity Incorporation, State or Country Code DE
Entity Address, Address Line One 11100 Santa Monica Blvd.
Entity Address, Address Line Two Suite 800
Entity Address, City or Town Los Angeles
Entity Address, State or Province CA
Entity Address, Postal Zip Code 90025
City Area Code 310
Local Phone Number 966-1444
Written Communications false
Soliciting Material false
Pre-commencement Tender Offer false
Pre-commencement Issuer Tender Offer false
Entity Emerging Growth Company false
Entity Information, Former Legal or Registered Name Not Applicable 
Common Stock, par value $0.0001 per share  
Title of 12(b) Security Common Stock, par value $0.0001 per share
Trading Symbol RILY
Security Exchange Name NASDAQ
Depositary Shares Each Representing 11000th Interest In 6. 875 [Member]  
Title of 12(b) Security Depositary Shares (each representing a 1/1000th interest in a 6.875
Trading Symbol RILYP
Security Exchange Name NASDAQ
Depositary Shares Each Representing 11000th Fractional Interest In 7. 375 Share [Member]  
Title of 12(b) Security Depositary Shares, each representing a 1/1000th fractional interest in a 7.375
Trading Symbol RILYL
Security Exchange Name NASDAQ
6.75% Senior Notes due 2024  
Title of 12(b) Security 6.75% Senior Notes due 2024
Trading Symbol RILYO
Security Exchange Name NASDAQ
6.375% Senior Notes due 2025  
Title of 12(b) Security 6.375% Senior Notes due 2025
Trading Symbol RILYM
Security Exchange Name NASDAQ
5.00% Senior Notes due 2026  
Title of 12(b) Security 5.00% Senior Notes due 2026
Trading Symbol RILYG
Security Exchange Name NASDAQ
5.50% Senior Notes due 2026  
Title of 12(b) Security 5.50% Senior Notes due 2026
Trading Symbol RILYK
Security Exchange Name NASDAQ
6.50% Senior Notes due 2026  
Title of 12(b) Security 6.50% Senior Notes due 2026
Trading Symbol RILYN
Security Exchange Name NASDAQ
5.25% Senior Notes due 2028  
Title of 12(b) Security 5.25% Senior Notes due 2028
Trading Symbol RILYZ
Security Exchange Name NASDAQ
6.00% Senior Notes due 2028  
Title of 12(b) Security 6.00% Senior Notes due 2028
Trading Symbol RILYT
Security Exchange Name NASDAQ
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