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OFFON

B. RILEY FINANCIAL, INC.

(RILY)
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B. RILEY FINANCIAL, INC. : Regulation FD Disclosure, Financial Statements and Exhibits (form 8-K)

07/30/2021 | 08:27am EDT

Item 7.01 Regulation FD Disclosure

On July 30, 2021, B. Riley Financial, Inc. (the "Company") issued a press release announcing the commencement of its public offering of $150,000,000 aggregate principal amount of senior notes due 2028. The Company expects to grant the underwriters a 30-day option to purchase up to an additional $22,500,000 aggregate principal amount of senior notes in connection with the offering. A copy of the press release is attached hereto as Exhibit 99.1.

In addition, in connection with the public offering, the Company will be making road show presentations to certain existing and potential securityholders of the Company. The road show materials are attached hereto as Exhibit 99.2.

The information set forth under this Item 7.01, including Exhibit 99.1 and Exhibit 99.2 hereto, is not deemed "filed" for purposes of Section 18 of the Exchange Act, or incorporated by reference in any filing under the Securities Act, except as may be expressly set forth by specific reference in such a filing.




Forward-Looking Statements



This Current Report on Form 8-K (and the exhibits attached hereto) may contain "forward-looking" statements as defined by the Private Securities Litigation Reform Act of 1995 or by the SEC in its rules, regulations and releases. These statements include, but are not limited to, the Company's plans, objectives, expectations and intentions regarding the performance of its business, the terms and conditions and timing of the senior notes offering, the intended use of proceeds of the senior notes offering and other non-historical statements. These statements can be identified by the use of words such as "believes," "anticipates," "expects," "intends," "plans," "continues," "estimates," "predicts," "projects," "forecasts," and similar expressions. All forward looking statements are based on management's current expectations and beliefs only as of the date of this report and are subject to risks, uncertainties and assumptions that could cause actual results to differ materially from those discussed in, or implied by, the forward-looking statements, including the risks identified and discussed from time to time in the Company's reports filed with the SEC, including the Company's most recent Annual Report on Form 10-K for the year ended December 31, 2020 and the Company's Quarterly Report on Form 10-Q for the quarter ended March 31, 2021. Readers are strongly encouraged to review carefully the full cautionary statements described in these reports. Except as required by law, the Company undertakes no obligation to revise or update publicly any forward-looking statements to reflect events or circumstances after the date of this report, or to reflect the occurrence of unanticipated events or circumstances.

Item 9.01 Financial Statements and Exhibits





(d) Exhibits



  99.1   Press Release, dated July 30, 2021.

  99.2   Road Show Materials, dated July 30, 2021.




                                       1

© Edgar Online, source Glimpses

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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 1 675 M 1 675 M -
EV / Sales 2019 1,79x
EV / Sales 2020 1,63x
Nbr of Employees 996
Free-Float 56,7%
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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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