B Riley Financial Inc
For the period ended Mar 31, 2024. Filed May 15, 2024.
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A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Mar 31, 2024 · Filed May 15, 2024
RILY$3.84+5.2%Stored close · as of Nov 9, 2026
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Item 6. Exhibits
The exhibits filed as part of this Quarterly Report are listed in the index to exhibits immediately preceding such exhibits, which index to exhibits is incorporated herein by reference.
Exhibit Index
| Incorporated by Reference | ||||
| Exhibit No. | Description | Form | Exhibit | Filing Date |
|---|---|---|---|---|
| 10.1* | Amendment No. 1 to Nomura Credit Agreement, dated October 6, 2023 | |||
| 10.2* | Amendment No. 2 to Nomura Credit Agreement, dated March 26, 2024 | |||
| 10.3* · First Amendment to Third Amended and Restated Wells Fargo Credit Agreement, dated March 28, 2024 | ||||
|---|---|---|---|---|
| 10.4* · Fifth Amendment to Banc of California Credit agreement, dated March 15, 2024 | ||||
| 10.5* · Sixth Amendment to Banc of California Credit Agreement, dated April 9, 2024 | ||||
| 10.6 | Guaranty, dated January 18, 2024, among B. Riley Financial, Inc., Babcock & Wilcox Enterprises, Inc. and Axos Bank | 8-K | 10.1 | 1/22/24 |
| 31.1* | Certification of Co-Chief Executive Officer pursuant to Rules 13a-14 and 15d-14 promulgated under the Securities Exchange Act of 1934 | |||
| 31.2* | Certification of Co-Chief Executive Officer pursuant to Rules 13a-14 and 15d-14 promulgated under the Securities Exchange Act of 1934 | |||
| 31.3* | Certification of Chief Financial Officer and Chief Operating Officer pursuant to Rules 13a-14 and 15d-14 promulgated under the Securities Exchange Act of 1934 | |||
| 32.1** | Certification of Co-Chief Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 | |||
| 32.2** | Certification of Co-Chief Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 | |||
| 32.3** | Certification of Chief Financial Officer and Chief Operating Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 | |||
| 101.INS* | Inline XBRL Instance Document. | |||
| 101.SCH* | Inline XBRL Taxonomy Extension Schema Document. | |||
| 101.CAL* | Inline XBRL Taxonomy Extension Calculation Linkbase Document. | |||
| 101.DEF* | Inline XBRL Taxonomy Extension Definition Linkbase Document. | |||
| 101.LAB | Inline XBRL Taxonomy Extension Label Linkbase Document. | |||
| 101.PRE | Inline XBRL Taxonomy Extension Presentation Linkbase Document. | |||
| 104 | Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101). | |||
- Filed herewith.
** Furnished herewith.
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