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B. RILEY FINANCIAL, INC. : Change in Directors or Principal Officers, Financial Statements and Exhibits (form 8-K)

06/03/2021 | 06:02am EDT

Item 5.02. Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

(e) B. Riley Financial, Inc. 2021 Stock Incentive Plan

At the annual meeting of stockholders held on May 27, 2021 (the "Annual Meeting"), B. Riley Financial, Inc.'s (the "Company") stockholders approved the B. Riley Financial, Inc. 2021 Stock Incentive Plan (the "2021 Plan"). As more fully described in the Company's definitive proxy statement filed with the Securities and Exchange Commission on April 20, 2021 (the "Proxy Statement"), upon the recommendation of the Company's Compensation Committee, the Company's Board of Directors approved the adoption of the 2021 Plan, subject to approval by the Company's stockholders at the Annual Meeting.

Upon approval by the Company stockholders, the 2021 Plan became effective and replaced the B. Riley Financial, Inc. Amended and Restated 2009 Stock Incentive Plan (the "2009 Plan"). Subject to adjustments provided for in the 2021 Plan, the total number of equity-based awards that may be awarded under the 2021 Plan may not exceed 4,001,009 (representing 2,476,531 shares originally approved for grant under the 2009 Plan plus the 1,524,478 originally designated under the FBR & Co., 2006 Long Term Incentive Plan share pool and added as a result of the approval of the 2021 Plan). Unless terminated sooner, the 2021 Plan will remain in effect until May 27, 2031.

The foregoing description of the 2021 Plan is not complete and is qualified in its entirety by reference to the 2021 Plan, which is filed as Appendix A to the Proxy Statement and incorporated herein by reference. In addition, a description of the material terms of the 2021 Plan was included in the Proxy Statement.

Item 9.01 Financial Statement and Exhibits.

  (d) Exhibits:

Exhibit   Description
10.01       B. Riley Financial, Inc. 2021 Stock Incentive Plan, incorporated by
          reference to Appendix A to the Company's definitive proxy statement, dated
          April 20, 2021 filed with the Securities and Exchange Commission.


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Financials (USD)
Sales 2020 795 M - -
Net income 2020 205 M - -
Net Debt 2020 174 M - -
P/E ratio 2020 5,85x
Yield 2020 2,66%
Capitalization 1 817 M 1 817 M -
EV / Sales 2019 1,79x
EV / Sales 2020 1,63x
Nbr of Employees 996
Free-Float 56,9%
Duration : Period :
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Managers and Directors
Bryant Richard Riley Chairman & Co-Chief Executive Officer
Thomas John Kelleher Co-Chief Executive Officer & Director
Kenneth M. Young President
Phillip J. Ahn Chief Operating & Financial Officer
Daniel Shribman Chief Investment Officer
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