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B. Riley Financial, Inc. 
 CA
  SEC # 1464790

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1,536  SEC Filings
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  from  6/1/09  to  3/27/24  (Yesterday)

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  Filer / Offerer   Owner / Insider   Issuer / Subject Company   Filing Agent   
 
Most-Recent Filing:    ‘8-K’ — Current Report — Form 8-K — Filed as:  Filer / Offerer 
 
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notifications of all
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Filings
involving  B. Riley Financial, Inc. 

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Forms
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, Documents
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& Exhibits
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 in  946 Filings
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 Filed as:  Filer / Offerer  or  Owner / Insider


        
Latest Filing  Type    Category    Description        Documents
     
3/27/24 New Document this Past Month!8-KUpdate:  Current Reports — Form 8-K  New Document this Past Month!  — Press Releases
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& Conference Calls
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 — Financial Reports
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220

8-K Items: 
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1/22/24
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  Business & Operations: 
Entry into a Material Definitive Agreement — Item 1.01 — ‘EX-10’
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54
5/15/20 OLD"Termination of a Material Definitive Agreement — Item 1.02  OLD  — ‘EX-10’
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1
11/1/19 OLD
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  Financial Info: 
Completion of Acquisition or Disposition of Assets — Item 2.01  OLD  — ‘EX-2’
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7
2/29/24 New Document this Past Month!"Results of Operations and Financial Condition — Item 2.02  New Document this Past Month!  — Financial Reports
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54
1/22/24"Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant — Item 2.03 — ‘EX-10’
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47
1/4/19 OLD"Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement — Item 2.04  OLD  — ‘EX-10’
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1
3/22/24 New Document this Past Month!
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  Securities & Trading: 
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing — Item 3.01  New Document this Past Month! 1
1/21/22 OLD"Unregistered Sales of Equity Securities — Item 3.02  OLD  — ‘EX-1’
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4
9/4/20 OLD"Material Modifications to Rights of Security Holders — Item 3.03  OLD  — ‘EX-4’
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3
3/15/23 OLD
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  Accountants & Accounting: 
Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review — Item 4.02  OLD 1
8/6/09 OLD
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  Governance & Management: 
Changes in Control of Registrant — Item 5.01  OLD 1
4/14/23"Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers — Item 5.02 — List of Directors & Officers
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34
9/4/20 OLD"Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year — Item 5.03  OLD  — ‘EX-3’
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6
5/30/23"Amendments to the Registrant’s Code of Ethics, or Waiver of a Provision of the Code of Ethics — Item 5.05 — ‘EX-14’
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2
8/6/09 OLD"Change in Shell Company Status — Item 5.06  OLD 1
5/30/23"Submission of Matters to a Vote of Security Holders — Item 5.0715
6/18/15 OLD"Shareholder Nominations Pursuant to Exchange Act Rule 14a-11 — Item 5.08  OLD 2
3/22/24 New Document this Past Month!
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  Disclosures: 
Regulation FD Disclosure — Item 7.01  New Document this Past Month!  — ‘EX-99’
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42
3/27/24 New Document this Past Month!
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  Events: 
Other Events — Item 8.01  New Document this Past Month! 64
3/22/24 New Document this Past Month!
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  Financials: 
Financial Statements and Exhibits — Item 9.01  New Document this Past Month!  — Financial Reports
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178

3/26/24 New Document this Past Month!4Ownership:  Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 4  New Document this Past Month! 226
3/26/24 New Document this Past Month!SC 13DOwnership:  Statements of Acquisitions of Beneficial Ownership by “Active” Investors — Schedule 13D  New Document this Past Month! 110
3/1/24 New Document this Past Month!SC 13GOwnership:  Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G  New Document this Past Month! 37
2/29/24 New Document this Past Month!NT 10-KUpdate:  Notices of Late Filings of Form 10-K Annual Reports — Form 12b-25  New Document this Past Month! 2
2/12/2413F-HROwnership:  Quarterly Holdings and Combination Reports by Money Managers — Form 13F — Assets Under Management
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38
11/9/2310-QUpdate:  Quarterly Reports — Form 10-Q — Financial Reports
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45
7/27/23424B5Registration:  Prospectuses – Primary Offerings and Shelf Securities – New Facts or Events46
4/18/23ARSUpdate:  Annual Report to Security Holders1
4/18/23DEF 14AProxy:  Definitive Proxy Statements — Schedule 14A — Financial Reports
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14
3/16/23 OLD10-KUpdate:  Annual Reports — Form 10-K  OLD  — Financial Reports
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24
11/15/22 OLD424B7Registration:  Prospectuses – Selling Security Holders – Info Previously Omitted  OLD 2
9/1/22 OLD3Ownership:  Initial Statements of Beneficial Ownership of Securities by Insiders — Form 3  OLD 26
12/3/21 OLDCERTTrading:  Certifications by Securities Exchanges Approving Listings — Form CERT  OLD 12
12/3/21 OLD8-A12BRegistration:  Registration Statements for Certain Classes of Securities — Form 8-A  OLD 15
12/1/21 OLDFWPRegistration:  Prospectuses – Free Writing  OLD 14
10/26/21 OLDSC TO-TOwnership:  Tender-Offer Statements by Third Parties — Schedule TO  OLD 7
9/13/21 OLDSC TO-COwnership:  Tender-Offer Communications by Issuers and Third Parties — Schedule TO  OLD 2
5/28/21 OLDS-8 POSRegistration:  Post-Effective Amendments of Form S-8 Registrations  OLD 2
2/9/21 OLDCORRESPComment:  Comment-Response and Other Letters to the SEC  [ a.k.a. COVER ]  OLD  — All Correspondence with the SEC
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23
1/28/21 OLDS-3ASRRegistration:  Automatic Shelf Registration Statement by a Well-Known Issuer — Form S-3  OLD 1
1/11/21 OLDDFAN14AProxy:  Definitive Additional Non-Management Proxy Soliciting Material — Schedule 14A  OLD 1
2/25/20 OLDEFFECTSEC:  SEC Notices of Effectiveness  OLD 12
2/14/20 OLDS-3Registration:  Registration Statements – Securities for Transactions — Form S-3  OLD 9
2/10/20 OLDS-3MEFRegistration:  Registration Statements to Add Securities to Prior Form S-3 Registrations  OLD 2
11/1/19 OLDS-8Registration:  Registration Statements – Securities for Certain Employee Benefit Plans — Form S-8  OLD 4
2/7/19 OLD5Ownership:  Annual Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 5  OLD 1
8/13/18 OLD425Registration:  Prospectuses and Communications – Mergers  OLD 18
6/8/18 OLDPRE 14AProxy:  Preliminary Proxy Statements — Schedule 14A  OLD 4
5/31/17 OLDCERTNASTrading:  Certifications by the Nasdaq Stock Market Approving Listings — Form CERT  OLD 3
5/1/17 OLD424B3Registration:  Prospectuses – New Facts or Events  OLD 5
5/1/17 OLDS-4Registration:  Registration Statements – Securities for Mergers — Form S-4  OLD 10
10/25/16 OLD305B2Registration:  Statement of Eligibility to Act as a Trustee by a Corporation — Form T-1  OLD 1
5/22/15 OLDPOS AMRegistration:  Post-Effective Amendments of Registration Statements  OLD 2
2/17/15 OLDDRegistration:  Notices of Exempt Offerings of Securities — Form D  OLD 4
11/7/14 OLDS-1Registration:  Registration Statements (General Form) — Form S-1  OLD 2
11/15/12 OLDNT 10-QUpdate:  Notice of a Late Filing of a Form 10-Q Quarterly Report — Form 12b-25  OLD 1
6/16/10 OLD8-A12GRegistration:  Registration Statement for a Class of Securities — Form 8-A  OLD 1
7/20/09 OLD424B2Registration:  Prospectus – Primary Offering or Shelf Securities  OLD 1

Letters: 
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6/1/09 OLDCOVERComment-Response or Cover Letter to the SEC  [ a.k.a. CORRESP ]  OLD  — All Correspondence with the SEC1

Form-Specific Documents: 
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2/12/24INFO-TABLEPortfolio Securities Holdings – Info Tables — Form 13F — Assets Under Management
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38

General Exhibits: 
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1/22/24EX-3Articles of Incorporation/Organization and Bylaws19
1/22/24EX-10Material Contracts164
7/28/23EX-5Opinions of Counsel re: Legality60
7/28/23EX-1Underwriting Agreements  (and mislabeled “1st Exhibits”)29
7/27/23EX-FILING FEESFiling Fees2
5/30/23EX-14Codes of Ethics2
3/16/23 OLDEX-23Consents of Experts and Counsel  OLD 90
3/15/23 OLDEX-4Instruments, Including Indentures, Defining the Rights of Security Holders  OLD 47
3/15/23 OLDEX-21Subsidiaries Lists  OLD 13
7/29/22 OLDEX-8Opinions of Counsel re: Tax Matters  OLD 7
10/13/21 OLDEX-2Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions  OLD 11
5/7/21 OLDEX-24Powers of Attorney  OLD 12
1/28/21 OLDEX-25Statements of Eligibility to Act as a Trustee — Forms T-1 & T-2  OLD 14

Additional Exhibits: 
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3/22/24 New Exhibit this Past Month!EX-99  &  EX-99.*Miscellaneous Exhibits, such as Press Releases  New Exhibit this Past Month!  — Press Releases
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& Conference Calls
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EX-99.*  Form-Specific Exhibits...  Form N-14:  2 Articles of Incorporation/Organization;  1 Bylaws  (3 total)
292

Financials: 
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3/27/24 New Report this Past Month!XML  &  R#IDEA Financial Reports Info  New Report this Past Month!  — Financial Reports
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3,976
3/27/24 New Workbook this Past Month!EXCELIDEA Workbooks of Financial Reports Info  New Workbook this Past Month!  — Workbooks of Financial Reports
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124
3/27/24 New Exhibit this Past Month!EX-101.*XBRL Data  (XBRL Files)  New Exhibit this Past Month! 544
3/27/24 New Exhibit this Past Month!JSONXBRL Instances as JavaScript Object Notation Data  (JSON Files)  New Exhibit this Past Month! 81
3/27/24 New Folder this Past Month!ZIPXBRL Zipped Folders
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  (Folders of XBRL Files)  New Folder this Past Month! 
117
11/9/23EX-31Certifications — §302 – SOA’02158
11/9/23EX-32Certifications — §906 – SOA’02147
4/18/23EX-11Statements re: Computations of Earnings Per Share5
3/20/18 OLDEX-12Statements re: Computations of Ratios  OLD 4

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3/22/24 New Graphic this Past Month!GRAPHICPhotos, Images and Graphs  New Graphic this Past Month! 1,436

History as a Money Manager:  Assets Under Management
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 ·  Related Money Managers



Forms
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, Documents
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& Exhibits
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 in  615 Filings
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 Filed re:  Issuer / Subject Company


        
New Filing!  List all Money Managers that own this Security Issuer:  CUSIP 05580M
 

        
Latest Filing  Type    Category    Description        Documents
     
3/19/24 New Document this Past Month!4Ownership:  Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 4  New Document this Past Month! 456
2/6/245Ownership:  Annual Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 512
1/24/24SC 13GOwnership:  Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G40
2/9/23 OLDSC 13DOwnership:  Statements of Acquisitions of Beneficial Ownership by “Active” Investors — Schedule 13D  OLD 20
12/22/21 OLD3Ownership:  Initial Statements of Beneficial Ownership of Securities by Insiders — Form 3  OLD 40
12/1/21 OLDFWPRegistration:  Prospectuses – Free Writing  OLD 14
10/21/21 OLD25-NSETrading:  Notices by Securities Exchanges of the Removals from Listing and Registration of Matured, Redeemed and Retired Securities — Form 25  OLD 5
1/11/21 OLDDFAN14AProxy:  Definitive Additional Non-Management Proxy Soliciting Material — Schedule 14A  OLD 1
8/13/18 OLD425Registration:  Prospectuses and Communications – Mergers  OLD 11

Letters: 
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2/20/20 OLDLETTERComment and Other Letters from the SEC  [ a.k.a. UPLOAD ]  OLD  — All Correspondence with the SEC16
2/20/20 OLDTEXT-EXTRACTComment and Other Letters from the SEC – PDFs’ Text  [ a.k.a. LETTER ]  OLD 3

General Exhibits: 
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3/20/18 OLDEX-23Consents of Experts and Counsel  OLD 2
11/16/12 OLDEX-24Power of Attorney  OLD 1
7/30/09 OLDEX-10Material Contract  OLD 1

Additional Exhibits: 
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2/9/23 OLDEX-99Miscellaneous Exhibits, such as Press Releases  OLD 32

Financials: 
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6/30/14 OLDEX-7Correspondence from Accountants re: Non-Reliance on Previously Issued Audit Reports and Completed Interim Reviews  OLD 3

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1/11/21 OLDGRAPHICPhotos, Images and Graphs  OLD 3


        

Filings History

Year    # of Filings
In descending order
2024 34
2023 150
2022 194
2021 220
2020 184
2019 134
2018 133
2017 132
2016 73
2015 63
2014 64
2013 26
2012 18
2011 26
2010 46
2009 39

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