B. Riley Financial, Inc. Contracts & Agreements

213 Contracts & Agreements
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Filed
Warrant Agreement dated May 21, 2025 between B. Riley Financial, Inc. and Warrant Holders
Warrant Agreements
B. Riley Financial, Inc.
Capital Markets
DE
2025
Registration Rights Agreement dated May 21, 2025, between B. Riley Financial, Inc. and Holders of Warrants
Registration Rights Agreements
B. Riley Financial, Inc.
Capital Markets
NY
2025
Employment Agreement between B. Riley Financial, Inc. and Scott Yessner, Effective May 19, 2025
Employment Agreements
B. Riley Financial, Inc.
Capital Markets
CA
2025
Nonstatutory Stock Option Agreement between B. Riley Financial, Inc. and Scott Yessner, dated May 19, 2025
Warrant Agreements
B. Riley Financial, Inc.
Capital Markets
2025
Indenture Agreement for 8.00% Senior Secured Second Lien Notes Due 2028 by B. Riley Financial, Inc. and GLAS Trust Company LLC
Indenture Agreements
B. Riley Financial, Inc.
Capital Markets
NY
2025
B. Riley Financial, Inc. 8.00% Senior Secured Second Lien Note Due 2028
Note Agreements
B. Riley Financial, Inc.
Capital Markets
NY
2025
Warrant Agreement between B. Riley Financial, Inc. and Holbrook Income Fund dated March 26, 2025
Warrant Agreements
B. Riley Financial, Inc.
Capital Markets
DE
2025
Registration Rights Agreement between B. Riley Financial, Inc. and Holbrook Income Fund (March 26, 2025)
Registration Rights Agreements
B. Riley Financial, Inc.
Capital Markets
NY
2025
Membership Interest Purchase Agreement by and among Atlantic Coast Recycling Holdings, Inc. and Seller Parties (March 1, 2025)
Purchase Agreements
B. Riley Financial, Inc.
Capital Markets
DE
2025
Seventh Amendment to Credit Agreement among Lingo Management, LLC, Secured Guarantors, Lenders, and Banc of California
Credit Agreements
B. Riley Financial, Inc.
Capital Markets
VA
2025
Equity Purchase Agreement among OCM SSF III Great American PT, L.P., Opps XII Great American Holdings, LLC, VOF Great American Holdings, L.P., BR Financial Holdings, LLC, and...
Purchase Agreements
B. Riley Financial, Inc.
Capital Markets
DE
2024
Transfer and Contribution Agreement between B. Riley Brand Management LLC and BR Funding Holdings 2024-1 LLC (October 25, 2024)
Contribution Agreements
B. Riley Financial, Inc.
Capital Markets
DE
2024
Membership Interest Purchase Agreement among HBN 120, LLC, bebe stores, inc., BB Brand Holdings LLC, and BKST Brand Management LLC (October 25, 2024)
Purchase Agreements
B. Riley Financial, Inc.
Capital Markets
CA
2024
B. Riley Financial, Inc. 2021 Stock Incentive Plan Time-Based Restricted Stock Unit Award Agreement
Bonus & Incentive Agreements
B. Riley Financial, Inc.
Capital Markets
2024
Guaranty Agreement dated January 18, 2024, by B. Riley Financial, Inc. in favor of Axos Bank and Secured Parties for Babcock & Wilcox Enterprises, Inc.
Guaranty Agreements
B. Riley Financial, Inc.
Capital Markets
CA
2024
B. Riley Financial, Inc. Common Stock Underwriting Agreement with B. Riley Securities, Inc. (July 25, 2023)
Underwriting Agreements
B. Riley Financial, Inc.
Capital Markets
NY
2023
Equity Commitment Letter by B. Riley Financial, Inc., Freedom VCM, Inc., and Freedom VCM Holdings, LLC (May 10, 2023)
Equity Distribution Agreements
B. Riley Financial, Inc.
Capital Markets
DE
2023
Limited Guarantee Agreement between B. Riley Financial, Inc. and Franchise Group, Inc. (May 10, 2023)
Guaranty Agreements
B. Riley Financial, Inc.
Capital Markets
DE
2023
Amended and Restated Employment Agreement between B. Riley Financial, Inc. and Bryant R. Riley (April 11, 2023)
Employment Agreements
B. Riley Financial, Inc.
Capital Markets
CA
2023
Amended and Restated Employment Agreement between B. Riley Financial, Inc. and Thomas J. Kelleher (April 11, 2023)
Employment Agreements
B. Riley Financial, Inc.
Capital Markets
CA
2023
Amended and Restated Employment Agreement between B. Riley Financial, Inc. and Phillip J. Ahn (April 11, 2023)
Employment Agreements
B. Riley Financial, Inc.
Capital Markets
CA
2023
Amended and Restated Employment Agreement between B. Riley Financial, Inc. and Alan N. Forman (April 11, 2023)
Employment Agreements
B. Riley Financial, Inc.
Capital Markets
CA
2023
Amended and Restated Employment Agreement between B. Riley Securities, Inc. and Andrew Moore (April 11, 2023)
Employment Agreements
B. Riley Financial, Inc.
Capital Markets
CA
2023
Amended and Restated Employment Agreement between B. Riley Financial, Inc. and Kenneth M. Young (April 11, 2023)
Employment Agreements
B. Riley Financial, Inc.
Capital Markets
CA
2023
Description of Securities Registered Under Section 12 of the Exchange Act – B. Riley Financial, Inc.
Equity Distribution Agreements
B. Riley Financial, Inc.
Capital Markets
2023
Third Amended and Restated Credit Agreement among B. Riley Retail Solutions WF, LLC, B. Riley Retail, Inc., B. Riley Retail Canada, ULC, and Wells Fargo Bank, dated April 20, 2022
Credit Agreements
B. Riley Financial, Inc.
Capital Markets
MA
2022
Description of Registered Securities of B. Riley Financial, Inc. under Section 12 of the Exchange Act
Equity Distribution Agreements
B. Riley Financial, Inc.
Capital Markets
2022
Third Amendment to Credit Agreement among BRPI Acquisition Co LLC, United Online, Inc., YMax Corporation, and Banc of California, N.A.
Credit Agreements
B. Riley Financial, Inc.
Capital Markets
DE
2022
Underwriting Agreement for B. Riley Financial, Inc. 5.00% Senior Notes Due 2026 with B. Riley Securities, Inc.
Underwriting Agreements
B. Riley Financial, Inc.
Capital Markets
NY
2021
Seventh Supplemental Indenture to Indenture Dated May 7, 2019 for 5.00% Senior Notes due 2026 between B. Riley Financial, Inc. and The Bank of New York Mellon Trust Company, N.A.
Indenture Agreements
B. Riley Financial, Inc.
Capital Markets
2021
Underwriting Agreement for B. Riley Financial, Inc. 5.25% Senior Notes Due 2028 with B. Riley Securities, Inc.
Underwriting Agreements
B. Riley Financial, Inc.
Capital Markets
NY
2021
Sixth Supplemental Indenture to 5.25% Senior Notes due 2028 between B. Riley Financial, Inc. and The Bank of New York Mellon Trust Company, N.A.
Indenture Agreements
B. Riley Financial, Inc.
Capital Markets
2021
B. Riley Financial, Inc. Time-Based Restricted Stock Unit Award Agreement under 2021 Stock Incentive Plan
Bonus & Incentive Agreements
B. Riley Financial, Inc.
Capital Markets
2021
Subscription Agreement between Dash Medical Holdings, LLC and B. Riley Principal Investments, LLC (March 1, 2021)
Subscription Agreements
B. Riley Financial, Inc.
Capital Markets
IL
2021
Joinder to Limited Liability Company Agreement by and between DASH Medical Holdings, LLC and B. Riley Principal Investments, LLC (March 1, 2021)
Joinder Agreements
B. Riley Financial, Inc.
Capital Markets
DE
2021
Subordinated Working Capital Promissory Note by DASH Medical Gloves, LLC and DASH Holding Company, Inc. in Favor of BRF Finance Co., LLC, Dated March 2, 2021
Note Agreements
B. Riley Financial, Inc.
Capital Markets
IL
2021
Subordination Agreement among Tree Line Capital Partners, BRF Finance Co., Dash Holding Company, and Dash Medical Gloves (March 2, 2021)
Subordination Agreement
B. Riley Financial, Inc.
Capital Markets
NY
2021
B. Riley Financial, Inc. Performance Restricted Stock Unit Agreement under 2009 Stock Incentive Plan
Bonus & Incentive Agreements
B. Riley Financial, Inc.
Capital Markets
DE
2021
Amendment No. 2 to Amended and Restated Credit Agreement among Babcock & Wilcox Enterprises, Inc., Bank of America, N.A., and Lenders
Credit Agreements
B. Riley Financial, Inc.
Capital Markets
NY
2021
Amendment No. 3 to Amended and Restated Credit Agreement among Babcock & Wilcox Enterprises, Inc., Bank of America, N.A., and Lenders (March 4, 2021)
Credit Agreements
B. Riley Financial, Inc.
Capital Markets
NY
2021
Amendment No. 4 to Amended and Restated Credit Agreement among Babcock & Wilcox Enterprises, Inc., Bank of America, N.A., and Lenders
Credit Agreements
B. Riley Financial, Inc.
Capital Markets
NY
2021
Underwriting Agreement for B. Riley Financial, Inc. 5.50% Senior Notes Due 2026 with B. Riley Securities, Inc.
Underwriting Agreements
B. Riley Financial, Inc.
Capital Markets
NY
2021
Fifth Supplemental Indenture to 5.50% Senior Notes Due 2026 between B. Riley Financial, Inc. and The Bank of New York Mellon Trust Company, N.A.
Indenture Agreements
B. Riley Financial, Inc.
Capital Markets
2021
Description of Registered Securities of B. Riley Financial, Inc. under Section 12 of the Exchange Act
Equity Distribution Agreements
B. Riley Financial, Inc.
Capital Markets
2021
Underwriting Agreement for B. Riley Financial, Inc. 6.00% Senior Notes Due 2028 with B. Riley Securities, Inc.
Underwriting Agreements
B. Riley Financial, Inc.
Capital Markets
NY
2021
Fourth Supplemental Indenture to 6.00% Senior Notes Due 2028 between B. Riley Financial, Inc. and The Bank of New York Mellon Trust Company, N.A.
Indenture Agreements
B. Riley Financial, Inc.
Capital Markets
2021
B. Riley Financial, Inc. Common Stock Underwriting Agreement with B. Riley Securities, Inc. (January 12, 2021)
Underwriting Agreements
B. Riley Financial, Inc.
Capital Markets
NY
2021
Second Amendment to Credit Agreement among BRPI Acquisition Co LLC, United Online, Inc., YMax Corporation, Lenders, and Banc of California, N.A.
Credit Agreements
B. Riley Financial, Inc.
Capital Markets
DE
2021
Deposit Agreement among B. Riley Financial, Inc. and Continental Stock Transfer & Trust Company, Dated September 4, 2020
Deposit Agreements
B. Riley Financial, Inc.
Capital Markets
DE
2020
Specimen Certificate for 7.375% Series B Cumulative Perpetual Preferred Stock of B. Riley Financial, Inc.
Stock Agreements
B. Riley Financial, Inc.
Capital Markets
2020
Limited Guaranty Agreement by B. Riley Financial, Inc. in Favor of BTC Holdings Fund Entities (February 19, 2020)
Guaranty Agreements
B. Riley Financial, Inc.
Capital Markets
NY
2020
Limited Guaranty Agreement by B. Riley Financial, Inc. in Favor of CIBC Bank USA (February 14, 2020)
Guaranty Agreements
B. Riley Financial, Inc.
Capital Markets
NY
2020
Third Supplemental Indenture to 6.375% Senior Notes Due 2025 between B. Riley Financial, Inc. and The Bank of New York Mellon Trust Company, N.A.
Indenture Agreements
B. Riley Financial, Inc.
Capital Markets
2020
Amendment to B. Riley Financial, Inc. Amended and Restated 2009 Stock Incentive Plan
Bonus & Incentive Agreements
B. Riley Financial, Inc.
Capital Markets
2019
Membership Interest Purchase Agreement among B. Riley Brand Management LLC, BR Brand Holdings LLC, BR Brand Acquisition LLC, and B. Riley Financial, Inc.
Purchase Agreements
B. Riley Financial, Inc.
Capital Markets
NY
2019
Second Supplemental Indenture to 6.50% Senior Notes Due 2026 between B. Riley Financial, Inc. and The Bank of New York Mellon Trust Company, N.A.
Indenture Agreements
B. Riley Financial, Inc.
Capital Markets
2019
First Supplemental Indenture to 6.75% Senior Notes Due 2024 between B. Riley Financial, Inc. and The Bank of New York Mellon Trust Company, N.A.
Indenture Agreements
B. Riley Financial, Inc.
Capital Markets
2019
Indenture Agreement between B. Riley Financial, Inc. and The Bank of New York Mellon Trust Company, N.A. (May 7, 2019)
Indenture Agreements
B. Riley Financial, Inc.
Capital Markets
NY
2019
Amendment No. 2 to Employment Agreement between B. Riley Financial, Inc. and Bryant R. Riley
Employment Agreements
B. Riley Financial, Inc.
Capital Markets
2019
Amendment No. 2 to Employment Agreement between B. Riley Financial, Inc. and Thomas Kelleher
Employment Agreements
B. Riley Financial, Inc.
Capital Markets
2019
Amendment No. 1 to Employment Agreement between B. Riley Financial, Inc. and Phillip J. Ahn
Employment Agreements
B. Riley Financial, Inc.
Capital Markets
2019
Amendment No. 1 to Employment Agreement between B. Riley Financial, Inc. and Alan N. Forman
Employment Agreements
B. Riley Financial, Inc.
Capital Markets
2019
Amendment No. 1 to Employment Agreement between Great American Group, LLC and Andrew Gumaer
Employment Agreements
B. Riley Financial, Inc.
Capital Markets
2019
Amendment No. 2 to Employment Agreement between B. Riley Financial, Inc. and Kenneth M. Young
Employment Agreements
B. Riley Financial, Inc.
Capital Markets
2019
Amendment No. 1 to Employment Agreement between B. Riley FBR, Inc. and Andrew Moore
Employment Agreements
B. Riley Financial, Inc.
Capital Markets
2019
Security and Pledge Agreement among BRPI Acquisition Co LLC, United Online, Inc., YMAX Corporation, and Banc of California, N.A.
Security Agreements
B. Riley Financial, Inc.
Capital Markets
CA
2018
Unconditional Guaranty and Pledge Agreement between B. Riley Principal Investments, LLC and Banc of California, N.A.
Guaranty Agreements
B. Riley Financial, Inc.
Capital Markets
CA
2018
Unconditional Guaranty Agreement between B. Riley Financial, Inc. and Banc of California, N.A. (as Administrative Agent)
Guaranty Agreements
B. Riley Financial, Inc.
Capital Markets
CA
2018
At Market Issuance Sales Agreement between B. Riley Financial, Inc. and B. Riley FBR, Inc. for Senior Notes
Sales Agreements
B. Riley Financial, Inc.
Capital Markets
NY
2018
Amendment No. 1 to Agreement and Plan of Merger among B. Riley Financial, B. R. Acquisition Ltd., and magicJack VocalTec Ltd.
Merger Agreements
B. Riley Financial, Inc.
Capital Markets
2018
Fifth Supplemental Indenture to Indenture Dated November 2, 2016 for 6.875% Senior Notes due 2023 between B. Riley Financial, Inc. and U.S. Bank National Association
Indenture Agreements
B. Riley Financial, Inc.
Capital Markets
2018
Employment Agreement between B. Riley Financial, Inc. and Kenneth M. Young (President)
Employment Agreements
B. Riley Financial, Inc.
Capital Markets
CA
2018
Employment Agreement between B. Riley FBR, Inc. and Andrew Moore (Chief Executive Officer)
Employment Agreements
B. Riley Financial, Inc.
Capital Markets
CA
2018
Amendment No. 1 to Employment Agreement between B. Riley Financial, Inc. and Bryant R. Riley
Employment Agreements
B. Riley Financial, Inc.
Capital Markets
2018
Amendment No. 1 to Employment Agreement between B. Riley Financial, Inc. and Thomas Kelleher
Employment Agreements
B. Riley Financial, Inc.
Capital Markets
2018
Commitment Letter for $800 Million Senior Secured Term Loan Facility – B. Riley Financial, Inc., Guggenheim Corporate Funding, LLC, and Vintage Rodeo Parent, LLC
Facility Agreements
B. Riley Financial, Inc.
Capital Markets
2018
Equity Commitment Letter among Vintage Rodeo, L.P., B. Riley Financial, Inc., and Vintage Rodeo Parent, LLC (June 17, 2018)
Contribution Agreements
B. Riley Financial, Inc.
Capital Markets
DE
2018
Limited Guarantee Agreement among B. Riley Financial, Inc., Vintage RTO, L.P., and Rent-A-Center, Inc. (June 17, 2018)
Guaranty Agreements
B. Riley Financial, Inc.
Capital Markets
DE
2018
At Market Issuance Sales Agreement between B. Riley Financial, Inc. and B. Riley FBR, Inc. for Senior Notes Due 2021, 2023, and 2027
Sales Agreements
B. Riley Financial, Inc.
Capital Markets
NJ
2018
Employment Agreement between B. Riley Financial, Inc. and Alan N. Forman (Executive Vice President & General Counsel)
Employment Agreements
B. Riley Financial, Inc.
Capital Markets
NY
2018
Debt Conversion and Purchase and Sale Agreement among bebe stores, inc., The Manny Mashouf Living Trust, and B. Riley Financial, Inc. (January 12, 2018)
Purchase Agreements
B. Riley Financial, Inc.
Capital Markets
CA
2018
Employment Agreement between B. Riley Financial, Inc. and Bryant R. Riley (CEO)
Employment Agreements
B. Riley Financial, Inc.
Capital Markets
CA
2018
Employment Agreement between B. Riley Financial, Inc. and Thomas J. Kelleher (President)
Employment Agreements
B. Riley Financial, Inc.
Capital Markets
CA
2018
Employment Agreement between Great American Group, LLC and Andrew Gumaer (CEO) Effective January 1, 2018
Employment Agreements
B. Riley Financial, Inc.
Capital Markets
CA
2018
Employment Agreement between B. Riley Financial, Inc. and Phillip J. Ahn (Chief Financial Officer & Chief Operating Officer)
Employment Agreements
B. Riley Financial, Inc.
Capital Markets
CA
2018
Third Supplemental Indenture to Indenture Dated November 2, 2016 for 7.25% Senior Notes due 2027 between B. Riley Financial, Inc. and U.S. Bank National Association
Indenture Agreements
B. Riley Financial, Inc.
Capital Markets
2017
Agreement and Plan of Merger among B. Riley Financial, Inc., B. R. Acquisition Ltd., and MagicJack VocalTec Ltd.
Merger Agreements
B. Riley Financial, Inc.
Capital Markets
DE
2017
Unconditional Guaranty Agreement between B. Riley Financial, Inc. and Banc of California, N.A. (April 13, 2017)
Guaranty Agreements
B. Riley Financial, Inc.
Capital Markets
CA
2017
Consulting Services Agreement between Richard J. Hendrix and FBR Capital Markets & Co. dated July 3, 2017
Consulting Agreements
B. Riley Financial, Inc.
Capital Markets
VA
2017
Severance Agreement and General Release between Richard J. Hendrix and FBR Capital Markets & Co., B. Riley & Co., LLC, and B. Riley Financial, Inc.
Severance Agreements
B. Riley Financial, Inc.
Capital Markets
VA
2017
Employment Agreement between B. Riley Financial, Inc., Wunderlich Investment Company, Inc., and Gary K. Wunderlich, Jr.
Employment Agreements
B. Riley Financial, Inc.
Capital Markets
NY
2017
Registration Rights Agreement between B. Riley Financial, Inc. and Owners (July 3, 2017)
Registration Rights Agreements
B. Riley Financial, Inc.
Capital Markets
NY
2017
Employment Agreement between B. Riley & Co., LLC, B. Riley Financial, Inc., and Richard J. Hendrix (2017)
Employment Agreements
B. Riley Financial, Inc.
Capital Markets
VA
2017
Second Supplemental Indenture to 7.50% Senior Notes due 2027 between B. Riley Financial, Inc. and U.S. Bank National Association
Indenture Agreements
B. Riley Financial, Inc.
Capital Markets
2017
Merger Agreement among B. Riley Financial, Inc., Foxhound Merger Sub, Inc., Wunderlich Investment Company, Inc., and Stockholder Representative dated May 17, 2017
Merger Agreements
B. Riley Financial, Inc.
Capital Markets
DE
2017
Seventh Amendment to Credit Agreement among Wells Fargo Bank, Wells Fargo Capital Finance Canada, and Great American Group WF, LLC et al.
Credit Agreements
B. Riley Financial, Inc.
Capital Markets
MA
2017
Agreement and Plan of Merger between FBR & Co. and B. Riley Financial, Inc. dated February 17, 2017
Merger Agreements
B. Riley Financial, Inc.
Capital Markets
DE
2017
Indenture Agreement between B. Riley Financial, Inc. and U.S. Bank National Association, dated November 2, 2016
Indenture Agreements
B. Riley Financial, Inc.
Capital Markets
NY
2016
First Supplemental Indenture to Indenture for 7.50% Senior Notes due 2021 between B. Riley Financial, Inc. and U.S. Bank National Association
Indenture Agreements
B. Riley Financial, Inc.
Capital Markets
2016
Agreement and Plan of Merger among B. Riley Financial, Unify Merger Sub, Inc., and United Online, Inc. dated May 4, 2016
Merger Agreements
B. Riley Financial, Inc.
Capital Markets
DE
2016
B. Riley Financial, Inc. Management Bonus Plan Effective June 16, 2015
Bonus & Incentive Agreements
B. Riley Financial, Inc.
Capital Markets
DE
2015
B. Riley Financial, Inc. Amended and Restated 2009 Stock Incentive Plan
Bonus & Incentive Agreements
B. Riley Financial, Inc.
Capital Markets
DE
2015
B. Riley Financial, Inc. Restricted Stock Unit Award Agreement under Amended and Restated 2009 Stock Incentive Plan
Bonus & Incentive Agreements
B. Riley Financial, Inc.
Capital Markets
DE
2015
B. Riley Financial, Inc. Amended and Restated 2009 Stock Incentive Plan Stock Bonus Program
Bonus & Incentive Agreements
B. Riley Financial, Inc.
Capital Markets
2015
Employment Agreement between B. Riley Financial, Inc. and Alan N. Forman
Employment Agreements
B. Riley Financial, Inc.
Capital Markets
CA
2015
B. Riley Financial, Inc. Amended and Restated 2009 Stock Incentive Plan
Bonus & Incentive Agreements
B. Riley Financial, Inc.
Capital Markets
DE
2015
Senior Secured, Super-Priority Debtor-in-Possession Credit Agreement among B. Riley Financial, Inc., The Wet Seal, Inc., and Affiliates (2015)
Credit Agreements
B. Riley Financial, Inc.
Capital Markets
NY
2015
Plan Sponsorship Agreement between The Wet Seal, Inc. and B. Riley Financial, Inc. (January 15, 2015)
Plan of Reorganization Agreements
B. Riley Financial, Inc.
Capital Markets
NY
2015
Security Agreement by The Wet Seal, Inc. and Affiliates in Favor of B. Riley Financial, Inc. (January 15, 2015)
Security Agreements
B. Riley Financial, Inc.
Capital Markets
DE
2015
Great American Group, Inc. Amended and Restated 2009 Stock Incentive Plan
Bonus & Incentive Agreements
B. Riley Financial, Inc.
Capital Markets
DE
2014
Escrow Agreement among Great American Group, Inc., Bryant Riley, and Continental Stock Transfer & Trust Company, Inc. dated June 18, 2014
Escrow Agreements
B. Riley Financial, Inc.
Capital Markets
NY
2014
Acquisition Agreement among Great American Group, Inc., Darwin Merger Sub I, Inc., B. Riley Capital Markets, LLC, B. Riley and Co. Inc., B. Riley & Co. Holdings, LLC, Riley...
Merger Agreements
B. Riley Financial, Inc.
Capital Markets
DE
2014
Securities Purchase Agreement between Great American Group, Inc. and Purchasers (May 19, 2014)
Purchase Agreements
B. Riley Financial, Inc.
Capital Markets
DE
2014
Registration Rights Agreement between Great American Group, Inc. and Purchasers (May 2014)
Registration Rights Agreements
B. Riley Financial, Inc.
Capital Markets
2014
Letter Agreement for Satisfaction and Discharge of Subordinated Unsecured Promissory Note between Great American Group, Inc. and Andrew Gumaer
Release Agreements
B. Riley Financial, Inc.
Capital Markets
2014
Letter Agreement for Satisfaction and Discharge of Subordinated Unsecured Promissory Note between Great American Group, Inc. and Harvey Yellen
Release Agreements
B. Riley Financial, Inc.
Capital Markets
2014
Employment Agreement between Great American Group, Inc. and Bryant Riley (CEO)
Employment Agreements
B. Riley Financial, Inc.
Capital Markets
CA
2014
Amended and Restated Employment Agreement between Great American Group, Inc. and Andrew Gumaer (May 19, 2014)
Employment Agreements
B. Riley Financial, Inc.
Capital Markets
CA
2014
Amended and Restated Employment Agreement between Great American Group, Inc. and Harvey Yellen
Employment Agreements
B. Riley Financial, Inc.
Capital Markets
CA
2014
Uncommitted Liquidation Finance Facility Agreement between Burdale Financial Limited and GA Asset Advisors Limited (March 2014)
Facility Agreements
B. Riley Financial, Inc.
Capital Markets
2014
Second Amended and Restated Credit Agreement between Great American Group WF, LLC and Wells Fargo Bank, N.A.
Credit Agreements
B. Riley Financial, Inc.
Capital Markets
MA
2013
Loan and Security Agreement (Accounts Receivable & Inventory Line of Credit) between BFI Business Finance and Great American Group Advisory & Valuation Services, LLC
Loan Agreements
B. Riley Financial, Inc.
Capital Markets
CA
2011
First Amended and Restated Credit Agreement between Great American Group WF, LLC, GA Asset Advisors Limited, and Wells Fargo Bank, N.A.
Credit Agreements
B. Riley Financial, Inc.
Capital Markets
MA
2011
Forbearance Agreement among Great American Group Energy Equipment, LLC, Garrison Loan Agency Services LLC, and Lenders (October 8, 2009)
Forbearance Agreements
B. Riley Financial, Inc.
Capital Markets
NY
2009
Security Agreement among Great American Group Energy Equipment, LLC, Great American Group, LLC, and Garrison Loan Agency Services LLC (May 29, 2008)
Security Agreements
B. Riley Financial, Inc.
Capital Markets
DE
2009
Non-Notification Factoring and Security Agreement between Great American Group Advisory & Valuation Services, LLC and FCC, LLC (First Capital Western Region, LLC)
Financing Agreements
B. Riley Financial, Inc.
Capital Markets
CA
2009
Security Agreement between Great American Group WF, LLC and Wells Fargo Retail Finance, LLC (October 21, 2008)
Security Agreements
B. Riley Financial, Inc.
Capital Markets
MA
2009
Security Agreement between Great American Venture, LLC and General Electric Capital Corporation dated October 25, 2000
Security Agreements
B. Riley Financial, Inc.
Capital Markets
CA
2009
Phantom Equityholder Amendment Agreement and Release between Great American Group, LLC and Plan Participant
Release Agreements
B. Riley Financial, Inc.
Capital Markets
CA
2009
Phantom Equityholder Acknowledgement and Amendment to Amendment No. 3 to Agreement and Plan of Reorganization (Alternative Asset Management Acquisition Corp., Great American...
Plan of Reorganization Agreements
B. Riley Financial, Inc.
Capital Markets
2009
Sixth Amended and Restated Operating Agreement for Great American Group Advisory & Valuation Services, LLC
Operating Agreements
B. Riley Financial, Inc.
Capital Markets
2009
Operating Agreement for Great American Group Machinery & Equipment, LLC
Operating Agreements
B. Riley Financial, Inc.
Capital Markets
2009
Employment Agreement between Great American Group, Inc. and Harvey M. Yellen
Employment Agreements
B. Riley Financial, Inc.
Capital Markets
CA
2009
Employment Agreement between Great American Group, Inc. and Andrew Gumaer
Employment Agreements
B. Riley Financial, Inc.
Capital Markets
CA
2009
Employment Agreement between Great American Group, Inc. and Paul Erickson
Employment Agreements
B. Riley Financial, Inc.
Capital Markets
CA
2009
Employment Agreement between Great American Group, Inc. and Scott Carpenter
Employment Agreements
B. Riley Financial, Inc.
Capital Markets
CA
2009
Registration Rights Agreement between Great American Group, Inc. and Stockholders (July 31, 2009)
Registration Rights Agreements
B. Riley Financial, Inc.
Capital Markets
DE
2009
Escrow Agreement among Alternative Asset Management Acquisition Corp., Great American Group, Inc., and Continental Stock Transfer & Trust Company (July 31, 2009)
Escrow Agreements
B. Riley Financial, Inc.
Capital Markets
DE
2009
Amendment No. 3 to Agreement and Plan of Reorganization among Alternative Asset Management Acquisition Corp., Great American Group, Inc., AAMAC Merger Sub, Inc., and Great...
Plan of Reorganization Agreements
B. Riley Financial, Inc.
Capital Markets
2009
Registration Rights Agreement between Great American Group, Inc. and Stockholders (2009)
Registration Rights Agreements
B. Riley Financial, Inc.
Capital Markets
DE
2009
Employment Agreement between Great American Group, Inc. and Andrew Gumaer
Employment Agreements
B. Riley Financial, Inc.
Capital Markets
CA
2009
Employment Agreement between Great American Group, Inc. and Harvey M. Yellen
Employment Agreements
B. Riley Financial, Inc.
Capital Markets
CA
2009
Employment Agreement between Great American Group, Inc. and Paul Erickson
Employment Agreements
B. Riley Financial, Inc.
Capital Markets
CA
2009
Employment Agreement between Great American Group, Inc. and Scott Carpenter
Employment Agreements
B. Riley Financial, Inc.
Capital Markets
CA
2009
Underwriting Agreement for 7.375% Series B Cumulative Perpetual Preferred Stock between B. Riley Financial, Inc. and B. Riley Securities, Inc.
Underwriting Agreements
B. Riley Financial, Inc.
Capital Markets
NY
2020
Commitment Letter for $100 Million Asset-Based Lending Facility between Franchise Group, Inc. and B. Riley Financial, Inc. (February 14, 2020)
B. Riley Financial, Inc.
Capital Markets
NY
2020
Description of Registered Securities of B. Riley Financial, Inc. under Section 12 of the Exchange Act
Equity Distribution Agreements
B. Riley Financial, Inc.
Capital Markets
2020
Underwriting Agreement for B. Riley Financial, Inc. 6.375% Senior Notes Due 2025 with B. Riley FBR, Inc.
Underwriting Agreements
B. Riley Financial, Inc.
Capital Markets
NY
2020
At Market Issuance Sales Agreement between B. Riley Financial, Inc. and B. Riley FBR, Inc. (December 5, 2019)
Equity Distribution Agreements
B. Riley Financial, Inc.
Capital Markets
NY
2019
Underwriting Agreement for B. Riley Financial, Inc. 6.875% Series A Cumulative Perpetual Preferred Stock, October 2, 2019
Underwriting Agreements
B. Riley Financial, Inc.
Capital Markets
NY
2019
Deposit Agreement among B. Riley Financial, Inc. and Continental Stock Transfer & Trust Company (October 7, 2019)
Deposit Agreements
B. Riley Financial, Inc.
Capital Markets
DE
2019
Specimen Certificate for 6.875% Series A Cumulative Perpetual Preferred Stock of B. Riley Financial, Inc.
Stock Agreements
B. Riley Financial, Inc.
Capital Markets
2019
Underwriting Agreement for B. Riley Financial, Inc. 6.50% Senior Notes Due 2026 with B. Riley FBR, Inc.
Underwriting Agreements
B. Riley Financial, Inc.
Capital Markets
NY
2019
B. Riley Financial, Inc. 6.75% Senior Notes Due 2024 Underwriting Agreement with B. Riley FBR, Inc.
Underwriting Agreements
B. Riley Financial, Inc.
Capital Markets
NY
2019
First Amendment to Credit Agreement and Joinder among BRPI Acquisition Co LLC, United Online, Inc., YMax Corporation, City National Bank, and Banc of California, N.A.
Credit Agreements
B. Riley Financial, Inc.
Capital Markets
DE
2019
Credit Agreement among BRPI Acquisition Co LLC, United Online, Inc., YMAX Corporation, Banc of California, N.A., and Lenders (December 19, 2018)
Credit Agreements
B. Riley Financial, Inc.
Capital Markets
CA
2018
Limited Waiver and Agreement between B. Riley Financial, Inc. and magicJack VocalTec Ltd. (November 8, 2018)
Waiver Agreements
B. Riley Financial, Inc.
Capital Markets
2018
B. Riley Financial, Inc. 6.875% Senior Notes Due 2023 Underwriting Agreement with B. Riley FBR, Inc.
Underwriting Agreements
B. Riley Financial, Inc.
Capital Markets
NY
2018
B. Riley Financial, Inc. 2018 Employee Stock Purchase Plan
Stock Agreements
B. Riley Financial, Inc.
Capital Markets
DE
2018
Vintage Rodeo, L.P. Subscription Agreement for Limited Partnership Interests with B. Riley Financial, Inc.
Subscription Agreements
B. Riley Financial, Inc.
Capital Markets
DE
2018
Side Letter Amendment to Subscription Agreement between B. Riley Financial Inc. and Vintage Rodeo, L.P. (June 17, 2018)
Subscription Agreements
B. Riley Financial, Inc.
Capital Markets
2018
Mutual Indemnity and Contribution Agreement among Vintage RTO, L.P., Samjor Family LP, and B. Riley Financial, Inc.
Indemnification Agreements
B. Riley Financial, Inc.
Capital Markets
DE
2018
B. Riley Financial, Inc. 7.375% Senior Notes Due 2023 Underwriting Agreement with B. Riley FBR, Inc.
Underwriting Agreements
B. Riley Financial, Inc.
Capital Markets
NY
2018
At Market Issuance Sales Agreement for Senior Notes between B. Riley Financial, Inc. and B. Riley FBR, Inc. (December 18, 2017)
Equity Distribution Agreements
B. Riley Financial, Inc.
Capital Markets
NJ
2017
B. Riley Financial, Inc. 7.25% Senior Notes Due 2027 Underwriting Agreement with B. Riley FBR, Inc.
Underwriting Agreements
B. Riley Financial, Inc.
Capital Markets
NY
2017
Security and Pledge Agreement between United Online, Inc. and Banc of California, N.A. (April 13, 2017)
Pledge Agreements
B. Riley Financial, Inc.
Capital Markets
CA
2017
Warrant Agreement between B. Riley Financial, Inc. and Continental Stock Transfer & Trust Company (July 3, 2017)
Warrant Agreements
B. Riley Financial, Inc.
Capital Markets
NY
2017
Lock-Up Agreement between B. Riley Financial, Inc. and Gary K. Wunderlich, Jr. (July 3, 2017)
B. Riley Financial, Inc.
Capital Markets
2017
At Market Issuance Sales Agreement for 7.50% Senior Notes Due 2027 between B. Riley Financial, Inc. and FBR Capital Markets & Co.
Equity Distribution Agreements
B. Riley Financial, Inc.
Capital Markets
NJ
2017
B. Riley Financial, Inc. 7.50% Senior Notes Due 2027 Underwriting Agreement with FBR Capital Markets & Co. and B. Riley & Co. LLC
Underwriting Agreements
B. Riley Financial, Inc.
Capital Markets
NY
2017
Credit Agreement among United Online, Inc., Subsidiaries, Banc of California, N.A., and Lenders (April 13, 2017)
Credit Agreements
B. Riley Financial, Inc.
Capital Markets
CA
2017
Sixth Amendment and Joinder to Credit Agreement among Wells Fargo, Great American Group WF, LLC, GA Retail, Inc., and GA Retail Canada, ULC
Credit Agreements
B. Riley Financial, Inc.
Capital Markets
MA
2016
B. Riley Financial, Inc. 7.50% Senior Notes Due 2021 Underwriting Agreement with Wunderlich Securities, Inc. and Compass Point Research & Trading LLC
Underwriting Agreements
B. Riley Financial, Inc.
Capital Markets
NY
2016
Fifth Amendment to Credit Agreement among Wells Fargo Bank, Great American Group WF, LLC, and GA Retail, Inc.
Credit Agreements
B. Riley Financial, Inc.
Capital Markets
MA
2016
B. Riley Financial, Inc. Common Stock Underwriting Agreement with B. Riley & Co., LLC and Merriman Capital, Inc.
Underwriting Agreements
B. Riley Financial, Inc.
Capital Markets
NY
2016
Subordinated Unsecured Promissory Note between B. Riley Financial, Inc. and Riley Investment Partners, L.P.
Note Agreements
B. Riley Financial, Inc.
Capital Markets
DE
2015
Second Amendment to Credit Agreement among Wells Fargo Bank, Great American Group WF, LLC, and Affiliates (August 28, 2014)
Credit Agreements
B. Riley Financial, Inc.
Capital Markets
MA
2015
Third Amendment to Credit Agreement among Wells Fargo Bank, Great American Group WF, LLC, and Affiliates
Credit Agreements
B. Riley Financial, Inc.
Capital Markets
MA
2015
Fourth Amendment to Credit Agreement among Wells Fargo Bank, Great American Group WF, LLC, and GA Retail, Inc.
Credit Agreements
B. Riley Financial, Inc.
Capital Markets
MA
2015
First Amendment to Credit Agreement and Limited Consent and Waiver among Wells Fargo Bank, Great American Group WF, LLC, and Affiliates
Credit Agreements
B. Riley Financial, Inc.
Capital Markets
MA
2014
Master Guarantee and Indemnity Agreement among GA Asset Advisors Limited, Great American Group Entities, Burdale Financial Limited, and Wells Fargo Bank (March 2014)
Guaranty Agreements
B. Riley Financial, Inc.
Capital Markets
2014
Third Amended and Restated Guaranty Agreement among Great American Group, Inc., Great American Group, LLC, and Wells Fargo Bank
Guaranty Agreements
B. Riley Financial, Inc.
Capital Markets
MA
2013
Waiver Agreement to Subordinated Unsecured Promissory Note between Great American Group, Inc. and Note Holder
Waiver Agreements
B. Riley Financial, Inc.
Capital Markets
2011
Amendment No. 2 to Subordinated Unsecured Promissory Note between Great American Group, Inc. and Payee
Note Agreements
B. Riley Financial, Inc.
Capital Markets
2011
Promissory Note between Great American Group, LLC and Dialectic Funds dated July 21, 2011
Note Agreements
B. Riley Financial, Inc.
Capital Markets
2011
Waiver and Second Amendment to Credit Agreement among Great American Group Energy Equipment, LLC, Garrison Loan Agency Services LLC, and Lenders
Credit Agreements
B. Riley Financial, Inc.
Capital Markets
NY
2011
Second Amended and Restated Guaranty by Great American Group, Inc. and Great American Group, LLC in Favor of Wells Fargo Bank
Guaranty Agreements
B. Riley Financial, Inc.
Capital Markets
MA
2011
Waiver Agreement to Subordinated Unsecured Promissory Note between Great American Group, Inc. and Noteholder
Waiver Agreements
B. Riley Financial, Inc.
Capital Markets
2011
Second Amendment and Extension of Credit Agreement between Wells Fargo Retail Finance, LLC and Great American Group WF, LLC
Credit Agreements
B. Riley Financial, Inc.
Capital Markets
MA
2010
Amendment No. 1 to Subordinated Unsecured Promissory Note between Great American Group, Inc. and Payee
Note Agreements
B. Riley Financial, Inc.
Capital Markets
2010
Amendment No. 1 to Subordinated Unsecured Promissory Note between Great American Group, Inc. and Payee
Modification Agreements
B. Riley Financial, Inc.
Capital Markets
2010
Great American Group, Inc. Warrant Certificate (Exercisable Until November 15, 2012)
Warrant Agreements
B. Riley Financial, Inc.
Capital Markets
2009
Warrant Agreement between Great American Group, Inc. and Continental Stock Transfer & Trust Company (2009)
Warrant Agreements
B. Riley Financial, Inc.
Capital Markets
NY
2009
Great American Group, Inc. Restricted Share Unit Award Agreement under 2009 Stock Incentive Plan
Bonus & Incentive Agreements
B. Riley Financial, Inc.
Capital Markets
DE
2009
Credit Agreement among Great American Group Energy Equipment, LLC, Garrison Special Opportunities Fund LP, Gage Investment Group LLC, and Garrison Loan Agency Services LLC dated...
Credit Agreements
B. Riley Financial, Inc.
Capital Markets
DE
2009
Guaranty Agreement by Great American Group, LLC in Favor of Garrison Special Opportunities Fund LP and Others (May 29, 2008)
Guaranty Agreements
B. Riley Financial, Inc.
Capital Markets
NY
2009
Credit Agreement between Great American Group WF, LLC and Wells Fargo Retail Finance, LLC dated October 21, 2008
Credit Agreements
B. Riley Financial, Inc.
Capital Markets
MA
2009
First Amendment to Credit Agreement between Wells Fargo Retail Finance, LLC and Great American Group WF, LLC (August 27, 2009)
Credit Agreements
B. Riley Financial, Inc.
Capital Markets
DE
2009
First Amended and Restated Limited Guaranty among Great American Group, Inc., Great American Group, LLC, and Wells Fargo Retail Finance, LLC
Guaranty Agreements
B. Riley Financial, Inc.
Capital Markets
MA
2009
Credit Agreement between Great American Venture, LLC and General Electric Capital Corporation dated October 25, 2000
Credit Agreements
B. Riley Financial, Inc.
Capital Markets
CA
2009
First Amendment to Credit Agreement between Great American Venture, LLC and General Electric Capital Corporation
Credit Agreements
B. Riley Financial, Inc.
Capital Markets
CA
2009
Second Amendment to Credit Agreement between Great American Venture, LLC and General Electric Capital Corporation
Credit Agreements
B. Riley Financial, Inc.
Capital Markets
CA
2009
Subordinated Unsecured Promissory Note between Great American Group, Inc. and Payee (July 31, 2009)
Note Agreements
B. Riley Financial, Inc.
Capital Markets
2009
Great American Group, Inc. Amended and Restated 2009 Stock Incentive Plan
Bonus & Incentive Agreements
B. Riley Financial, Inc.
Capital Markets
DE
2009
Warrant Agreement between Alternative Asset Management Acquisition Corp. and Continental Stock Transfer & Trust Company (August 1, 2007)
Warrant Agreements
B. Riley Financial, Inc.
Capital Markets
NY
2009
Amendment No. 1 to Warrant Agreement between Alternative Asset Management Acquisition Corp. and Continental Stock Transfer & Trust Company
Warrant Agreements
B. Riley Financial, Inc.
Capital Markets
NY
2009
Warrant Certificate for Purchase of Common Stock of Great American Group, Inc.
Warrant Agreements
B. Riley Financial, Inc.
Capital Markets
2009
Lock-Up Agreement between Great American Group, Inc. and Former Members of Great American Group, LLC (July 31, 2009)
B. Riley Financial, Inc.
Capital Markets
DE
2009
Amendment to Letter Agreement Regarding Founders' Restricted Stock and Warrants – Alternative Asset Management Acquisition Corp., Great American Group, LLC, and Great American...
Modification Agreements
B. Riley Financial, Inc.
Capital Markets
2009
Director and Officer Indemnification Agreement between Great American Group, Inc. and [Director/Officer]
Indemnification Agreements
B. Riley Financial, Inc.
Capital Markets
DE
2009
Great American Group, Inc. 2009 Stock Incentive Plan
Bonus & Incentive Agreements
B. Riley Financial, Inc.
Capital Markets
DE
2009
Specimen Common Stock Certificate for Great American Group, Inc.
Stock Agreements
B. Riley Financial, Inc.
Capital Markets
2009
Great American Group, Inc. Specimen Warrant Certificate for Purchase of Common Stock
Warrant Agreements
B. Riley Financial, Inc.
Capital Markets
2009