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    B. Riley Financial Inc. filed SEC Form 8-K: Results of Operations and Financial Condition, Financial Statements and Exhibits

    8/13/25 4:44:46 PM ET
    $RILY
    Investment Managers
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    Get the next $RILY alert in real time by email
    false 0001464790 0001464790 2025-08-07 2025-08-07 0001464790 RILY:CommonStockParValue0.0001PerShareMember 2025-08-07 2025-08-07 0001464790 RILY:DepositarySharesEachRepresenting11000thInterestIn6.875SeriesCumulativePerpetualPreferredShareParValue0.0001PerShareMember 2025-08-07 2025-08-07 0001464790 RILY:DepositarySharesEachRepresenting11000thFractionalInterestIn7.375ShareOfSeriesBCumulativePerpetualPreferredStockMember 2025-08-07 2025-08-07 0001464790 RILY:Sec5.00SeniorNotesDue2026Member 2025-08-07 2025-08-07 0001464790 RILY:Sec5.50SeniorNotesDue2026Member 2025-08-07 2025-08-07 0001464790 RILY:Sec6.50SeniorNotesDue2026Member 2025-08-07 2025-08-07 0001464790 RILY:Sec5.25SeniorNotesDue2028Member 2025-08-07 2025-08-07 0001464790 RILY:Sec6.00SeniorNotesDue2028Member 2025-08-07 2025-08-07 iso4217:USD xbrli:shares iso4217:USD xbrli:shares

     

     

    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): August 7, 2025

     

    B. RILEY FINANCIAL, INC.

    (Exact name of registrant as specified in its charter)

     

    Delaware   001-37503   27-0223495
    (State or other jurisdiction
    of incorporation)
      (Commission File Number)   (IRS Employer
    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: 

     

    Title of each class   Trading Symbol(s)   Name of each exchange on which 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
    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 2.02. Results of Operations and Financial Condition.

     

    On August 7, 2025, B. Riley Securities Holdings, Inc., a subsidiary of B. Riley Financial, Inc. (the “Company”), issued a press release reporting its preliminary unaudited financial results for the three-month period ended June 30, 2025. A copy of the press release is attached hereto as Exhibit 99.1.

     

    On August 13, 2025, the Company issued a press release reporting certain preliminary financial information for the three and twelve-month periods ending December 31, 2024, and certain unaudited preliminary estimates and a business update for the six-months ended June 30, 2025. A copy of the press release is attached hereto as Exhibit 99.2.

     

    The information set forth in this Current Report, including Exhibits 99.1 and 99.2 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 Exhibits 99.1 and 99.2 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   Press Release dated August 7, 2025
    99.2   Press Release dated August 13, 2025
    104   Cover Page Interactive Data File (embedded within the Inline XBRL document)

     

    1

     

     

    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/ Scott Yessner
      Name: Scott Yessner
      Title: Chief Financial Officer
         
    Date: August 13, 2025    

     

    2

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