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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 3/27/24 B. Riley Financial, Inc. 8-K:8 3/27/24 11:296K EdgarAgents LLC/FA |
Document/Exhibit Description Pages Size 1: 8-K Current Report HTML 49K 6: R1 Cover HTML 70K 8: XML IDEA XML File -- Filing Summary XML 12K 11: XML XBRL Instance -- ea0202739-8k_briley_htm XML 42K 7: EXCEL IDEA Workbook of Financial Report Info XLSX 9K 3: EX-101.DEF XBRL Definitions -- rily-20240327_def XML 83K 4: EX-101.LAB XBRL Labels -- rily-20240327_lab XML 117K 5: EX-101.PRE XBRL Presentations -- rily-20240327_pre XML 79K 2: EX-101.SCH XBRL Schema -- rily-20240327 XSD 19K 9: JSON XBRL Instance as JSON Data -- MetaLinks 30± 39K 10: ZIP XBRL Zipped Folder -- 0001213900-24-026575-xbrl Zip 23K
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
CURRENT REPORT
Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): i March 27, 2024
(Exact name of registrant as specified in its charter)
| i Delaware | i 001-37503 | i 27-0223495 | ||
| (State or other jurisdiction of incorporation) |
(Commission File Number) | (IRS Employer Identification No.) |
i 11100 Santa Monica Blvd., i Suite 800
i Los Angeles, i CA i 90025
(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:
(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:
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).
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 8.01 | Other Events |
In light of the delayed filing of B. Riley Financial, Inc.’s (the “Company”) Annual Report on Form 10-K for the year ending December 31, 2023 (the “Annual Report”), the Company has secured an extension under its existing credit agreement with Nomura Corporate Funding Americas, LLC (as administrative agent to the lenders) of the time required to deliver its 2023 audited financial statements to the administrative agent.
While the Company does not believe it will require the full period, the lenders have agreed that the audited financials need not be delivered until April 29, 2024. The Company did not incur any additional fees as a result of the extension.
The Company acknowledges the key role its lenders and other counterparties have played in its growth and success and, as evidenced by the extension, continues to maintain an ongoing and productive dialogue with its lenders even through this temporary delay.
Forward-looking statements
This Current Report on Form 8-K contains forward-looking statements within the meaning of the Private Securities Litigation Reform Act of 1995. All statements other than statements of historical fact are forward-looking statements. These forward-looking statements involve known and unknown risks, uncertainties and other factors which may cause the Company’s performance or achievements to be materially different from any expected future results, performance, or achievements. Forward-looking statements speak only as of the date they are made and the Company assumes no duty to update forward looking statements, except as required by law. Actual future results, performance or achievements may differ materially from historical results or those anticipated depending on a variety of factors, some of which are beyond the control of the Company, including, but not limited to, the risks described from time to time in the Company’s periodic filings with the SEC, including, without limitation, the risks described in the Company’s 2022 Annual Report on Form 10-K under the captions “Risk Factors” and “Management’s Discussion and Analysis of Financial Condition and Results of Operations” (as applicable). Additional information will be set forth in the Company’s Annual Report on Form 10-K for the year ended 2023. These factors should be considered carefully, and readers are cautioned not to place undue reliance on such forward-looking statements. All information is current as of the date this press release is issued, and the Company undertakes no duty to update this information.
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: March 27, 2024
| This ‘8-K’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| 4/29/24 | ||||
| Filed on / For Period end: | 3/27/24 | |||
| 12/31/23 | 13F-HR, 5, NT 10-K | |||
| List all Filings | ||||