B Riley Financial Inc
For the period ended Sep 30, 2024. Filed Feb 21, 2025.
View on SEC.govAbout this filing
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.
Sep 30, 2024 · Filed Feb 21, 2025
RILY$3.84+5.2%Stored close · as of Nov 9, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
See the whole filing, with its images and exhibitsContents
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 |
| 3.1* · Series A Certificate of Correction to the Company's Certificate of Designation of 6.875% Series A Preferred Stock | ||||
| 3.2* · Series B Certificate of Correction to the Company's Certificate of Designation of 7.375% Series B Preferred Stock | ||||
| 10.1 | Transfer and Contribution Agreement, dated October 25, 2024, between B. Riley Brand Management, LLC and BR Funding Holdings 2024-1, LLC. | 8-K | 2.1 | 10/31/2024 |
| 10.2 | Membership Interest Purchase Agreement, dated October 25, 2024, by and among bebe stores, inc., HBN 120, LLC, BB Brand Holdings, LLC and BKST Brand Management, LLC. | 8-K | 2.2 | 10/31/2024 |
| 10.3 | Equity Purchase Agreement, dated October 13, 2024, by and among OCM SSF III Great American PT, L.P., Opps XII Great American Holdings, LLC, VOF Great American Holdings, L.P., BR Financial Holdings, LLC, on behalf of itself and as seller's representative, John Bankert, Ken Bloore, Michael Marchlik, Great American Holdings, LLC, and, solely for purposes of Section 9.14 therein, B. Riley Financial, Inc. | 8-K | 2.1 | 11/21/24 |
| 10.4*^ | Amendment No. 4 to Nomura Credit Agreement, dated September 17, 2024 | |||
| 10.5*^ | Amendment No. 5 to Nomura Credit Agreement, dated December 9, 2024 | |||
| 10.6*^ | Amendment No. 6 to Nomura Credit Agreement, dated January 1, 2025 | |||
| 10.7* | Second Amendment to Third Amended and Restated Wells Fargo Credit Agreement, dated August 19, 2024 | |||
| 10.8* | Third Amendment to Third Amended and Restated Wells Fargo Credit Agreement, dated September 3, 2024 | |||
| 10.9* | Fourth Amendment to Third Amended and Restated Wells Fargo Credit Agreement, dated September 13, 2024 | |||
| 10.10* | Fifth Amendment to Third Amended and Restated Wells Fargo Credit Agreement, dated September 27, 2024 | |||
| 10.11* | Seventh Amendment to BRPI Acquisition Co LLC and Banc of California Credit Agreement, dated August 22, 2024 |
|---|---|
| 10.12* | Eighth Amendment to BRPI Acquisition Co LLC. and Banc of California Credit Agreement, dated September 6, 2024 |
| 10.13* | Ninth Amendment to BRPI Acquisition Co LLC and Banc of California Credit Agreement, dated September 13, 2024 |
| 10.14* | Tenth Amendment to BRPI Acquisition Co LLC and Banc of California Credit Agreement, dated September 20, 2024 |
| 10.15* | Eleventh Amendment to BRPI Acquisition Co LLC and Banc of California Credit Agreement, dated September 30, 2024 |
| 10.16* | Eighth Amendment to Lingo Management LLC and Banc of California Credit Agreement, dated August 22, 2024 |
| 10.17* | Ninth Amendment to Lingo Management LLC and Banc of California Credit Agreement, dated September 6, 2024 |
| 10.18* | Tenth Amendment to Lingo Management LLC and Banc of California Credit Agreement, dated September 20, 2024 |
| 10.19* | Eleventh Amendment to Lingo Management LLC and Banc of California Credit Agreement, dated September 30, 2024 |
| 10.20* | Kenny Young Consulting Services Agreement, dated September 20, 2024 |
| 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.
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.