What changed in this filing

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Item 5. Other Information

2021-08-02 compared with 2021-05-10 · 26 added, 23 removed, 21 unchanged (70% of the section changed)

Other Information.

exhibits filed as part of this Quarterly Report are listed in the index to exhibits immediately preceding such exhibits, which index

to exhibits is incorporated herein by reference.

On July 27, 2021, the Compensation Committee (the

“Committee”) of the Company’s Board of Directors approved an annual incentive cash compensation program for the Company’s

named executive officers.

Rather than continue to establish financial targets pursuant to the Company’s Management Bonus Plan which

in preceding years provided annual cash bonuses based upon the achievement of certain annual EBITDA thresholds, the Committee elected,

following consultation with its outside compensation advisors, to implement a discretionary bonus program based upon the Company’s

performance and the individual executive’s contributions.

The Committee has determined that a discretionary annual bonus for

the named executive officers enables the Committee (i) to tailor compensation based upon individual performance, (ii) to consider long

versus short term goals, (iii) to evaluate the Company’s overall financial performance (or a business unit or subsidiary performance,

as the case may be), and (iv) to appraise the attainment of other Company objectives.

The exhibits filed as part

of this Quarterly Report are listed in the index to exhibits immediately preceding such exhibits, which index to exhibits is incorporated

herein by reference.

Exhibit Index

Incorporated by Reference

DASH Medical Holdings, LLC Subscription Agreement, dated as of March 1, 2021, by and between DASH Medical Holdings, LLC and B.

Riley Principal Investments, LLC

Limited Liability Company Agreement, dated as of March 1, 2021, of DASH Medical Holdings, LLC (included as Exhibit B to Exhibit 10.1 above)

Joinder to Limited Liability Company Agreement, dated as of March 1, 2021, by and between DASH Medical Holdings, LLC and B.

Riley Principal Investments, LLC

Subordinated Working Capital Promissory Note, dated as of March 2, 2021, made by DASH Medical Gloves, LLC and DASH Holding Company, Inc., in favor of BRF Finance Co., LLC

Subordination Agreement, dated as of March 2, 2021, among Tree Line Capital Partners, LLC, as administrative agent, and BRF Finance Co., LLC, DASH Holding Company, Inc., and DASH Medical Gloves, LLC

Form of Performance Restricted Stock Unit Agreement pursuant to the Amended and Restated 2009 Stock Incentive Plan

Amendment No.

2 to Amended and Restated Credit Agreement, dated as of February 8, 2021, by and among Babcock & Wilcox Enterprises, Inc., Bank of America, N.A., as administrative agent, and the lenders party thereto, including B.

Riley Securities, Inc., and the Company, as limited guarantor

Amendment No.

3 to Amended and Restated Credit Agreement, dated as of March 4, 2021, by and among Babcock & Wilcox Enterprises, Inc., Bank of America, N.A., as administrative agent, and the lenders party thereto, including B.

Riley Securities, Inc., and the Company, as limited guarantor

Amendment No.

4 to Amended and Restated Credit Agreement, dated as of March 26, 2021, by and among Babcock & Wilcox Enterprises, Inc., Bank of America, N.A., as administrative agent, and the lenders party thereto, including B.

Riley Securities, Inc., and the Company, as limited guarantor

Credit Agreement dated June 23, 2021, among B.

Riley Financial, Inc., BR Financial Holdings, LLC, BR Advisory & Investments LLC, each of the lenders from time to time parties thereto, Nomura Corporate Funding Americas, LLC, and Wells Fargo Bank, N.A.

Form of Restricted Stock Unit Award Agreement (Time-Vesting) under the B.

Riley Financial, Inc.

2021 Stock Incentive Plan.

Certification of Co-Chief Executive Officer pursuant to Rules 13a-14 and 15d-14 promulgated under the Securities Exchange Act of 1934

14 unchanged sentences

Management contract or compensatory plan or arrangement

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 thereunto duly authorized.

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

thereunto duly authorized.

Riley Financial, Inc.

July 30, 2021

/s / PHILLIP J.

Chief Financial Officer and Chief Operating Officer

Financial Officer )

Chief Financial Officer and

Chief Operating Officer

(Principal Financial Officer)

Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.

What changed 10-Q

Item 5. Other Information