B. Riley Financial, Inc. (NASDAQ:RILY) Files An 8-K Entry into a Material Definitive AgreementItem 1.01. Entry into a Material Definitive Agreement.
| * | Schedules and exhibits omitted to Item601(b)(2) of Regulation S-K. The Company agrees to furnish supplementally a copy of any omitted schedule or exhibit to the SEC upon request. |
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.
Date: July5, 2017
| B. RILEY FINANCIAL, INC. | |
| By: |
/s/ Phillip J. Ahn |
| Name: | Phillip J. Ahn |
| Title: | Chief Financial Officer and Chief Operating Officer |
EXHIBIT INDEX
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Exhibit No. |
Description |
| 2.1 | Merger Agreement, dated as of May 17, 2017, by and among B. Riley Financial, Inc., Foxhound Merger Sub, Inc., Wunderlich Investment Company, Inc. and the Stockholder Representative (filed as Exhibit 2.1 to the Company’s Form 8-K (File No.001-37503) filed on May 18, 2017 and incorporated herein by reference).* |
| 10.1 | Warrant Agreement, dated as of July 3, 2017, by and between B. Riley Financial, Inc. and Continental Stock Transfer & Trust Company |
| 10.2 | Employment Agreement, dated as of May 17, 2017, by and among B. Riley Financial, Inc., Wunderlich Investment Company, Inc. and Gary K. Wunderlich, Jr. |
| 10.3 | Lock-Up Agreement, dated as of July 3, 2017, by and between B. Riley Financial, Inc. and Gary K. Wunderlich, Jr. |
| 10.4 | Registration Rights Agreement, dated as of July 3, 2017, by and among B. Riley Financial, Inc. and the persons listed on the pages thereto. |
| 99.1 | Press Release, dated July 5, 2017 |
| * | Schedules and exhibits omitted B. Riley Financial, Inc. ExhibitEX-10.1 2 d420762dex101.htm EX-10.1 EX-10.1 Exhibit 10.1 WARRANT AGREEMENT THIS WARRANT AGREEMENT (this “Agreement”),…To view the full exhibit click hereAbout B. Riley Financial, Inc. (NASDAQ:RILY) B. Riley Financial, Inc. provides collaborative financial services and solutions through several subsidiaries, including: B. Riley & Co. LLC, a investment bank which provides corporate finance, research, and sales and trading to corporate, institutional and high net worth individual clients; Great American Group, LLC, a provider of advisory and valuation services, asset disposition and auction solutions, and commercial lending services; B. Riley Capital Management, LLC, an Investment Advisor, which includes B. Riley Asset Management, a provider of investment products to institutional and high net worth investors, and B. Riley Wealth Management (formerly MK Capital Advisors), a multi-family office practice and wealth management firm focused on the needs of ultra-high net worth individuals and families; and Great American Capital Partners, LLC, a provider of senior secured loans and second lien secured loan facilities to middle market public and private United States companies. |
