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Description Form Exhibit Filing Date
−Removed: Amended and Restated Credit Agreement among BRPI Acquisition Co LLC, Lingo Management, LLC, United Online, Inc., YMAX Corporation and Banc of California dated as of January 6, 2025.
−Removed: Credit Agreement, among B.
−Removed: Riley Financial, Inc., BR Financial Holdings, LLC, and Oaktree Fund Administration, LLC, dated as of February 26, 2025.
−Removed: 10.1 3/4/2025
−Removed: Amendment No.
−Removed: 1 to Credit Agreement, amo ng B.
+Added: 10.1# Employment Agreement between B.
Riley Financial, Inc.
−Removed: , BR Financial Holdings, LLC, and Oaktree Fund Administration, LLC, dated as of March 24 , 2025.
−Removed: 10.4 Form of Warrant, for warrants issued to RPVOF Broker CTB, LLC, OPIF Broker Holdings, L.P., Oaktree Copley Investments, LLC, OPPS XII Broker E Holdings, L.P.
−Removed: and OCM SSF III Broker Debt Holdings, L.P in connection with the Credit Agreement, dated February 26, 2025.
−Removed: 10.2 3/4/2025
−Removed: Registration Rights Agreement among B.
−Removed: Riley Financial, Inc., and RPVOF Broker CTB, LLC, OPIF Broker Holdings, L.P., Oaktree-Copley Investments, LLC, OPPS XII Broker E Holdings, L.P., and OCM SSF III Broker Debt Holdings, L.P, dated as of February 26, 2025.
+Added: and Scott Yessner, dated as of May 19, 2025.
10.1 5/22/2025
−Removed: Membership Interest Purchase Agreement by and among Atlantic Coast Recycling Holdings, Inc., Atlantic Coast Recycling, LLC, a Atlantic Coast Recycling of Ocean County, LLC, and ReVal Group, LLC, B.
−Removed: Riley Financial, Inc., BR Financial Holdings, LLC, B.
−Removed: Riley Environmental Holdings, LLC, BRF Investments, LLC, Mario Gigante, InfraNext Partners Holdings, LLC, Alan Milton, Bruce Papp, Provident Trust Group - Robert Deutschman Roth IRA, Robert Deutschman, Roger Shapiro and Christian Morgan dated as of March 1, 2025.
−Removed: Indenture, by and among B.
−Removed: Riley Financial, Inc.
−Removed: and GLAS Trust Company LLC, as trustee and collateral agent, governing the issuance by B.
+Added: 10.2# Nonstatutory Stock Option Agreement between B.
Riley Financial, Inc.
−Removed: of 8.00% Senior Secured Second Lien Notes due January 2028, dated as of March 26, 2025.
−Removed: 10.1 4/1/2025
−Removed: Form of 8.00% Senior Secured Second Lien Note due 2028.
+Added: and Scott Yessner, dated as of May 19, 2025.
10.2 5/22/2025
−Removed: Form of Warrant, for warrants issued to Holbrook Income Fund, dated March 26, 2025.
+Added: 10.3§† Form of Warrant, for warrants issued to Annuity Investors Life Insurance Company, C.M.
+Added: Life Insurance Company, Massachusetts Mutual Life Insurance Company, and MassMutual Ascend Life Insurance Company, dated May 21, 2025.
10.1 5/28/2025
10.4§ Registration Rights Agreement by and between B.
−Removed: Riley Financial, Inc.
−Removed: and Holbrook Income Fund, dated as of March 26, 2025.
−Removed: 10.4 4/1/2025
+Added: Riley Financial, Inc., and Annuity Investors Life Insurance Company, C.M.
+Added: Life Insurance Company, Massachusetts Mutual Life Insurance Company, and MassMutual Ascend Life Insurance Company, dated as of May 21, 2025.
+Added: 8-K 10.2 5/28/2025
+Added: 10.5§ Equity Purchase Agreement, by and among B.
+Added: Riley Advisory Holdings, LLC, B.
+Added: Riley Advisory US, Inc., B.
+Added: Riley Financial, Inc., Gallop U.S.
+Added: Acquireco Inc., and 1001243443 Ontario Inc., dated as of June 27, 2025.
+Added: 8-K 2.1 7/3/2025
+Added: 10.6* First Amendment to Credit Agreement among BRPI Acquisition Co LLC, Lingo Management, LLC, United Online, Inc., YMAX Corporation and Banc of California, dated as of May 12, 2025.
+Added: 10.7§* Second Amendment to Credit Agreement among BRPI Acquisition Co LLC, Lingo Management, LLC, United Online, Inc., YMAX Corporation and Banc of California, dated as of June 10, 2025.
+Added: 10.8* Amendment to Credit Agreement by and among Babcock & Wilcox Enterprises, Inc., the other entities listed in Schedule I thereto, B.
+Added: Riley Financial, Inc., the Lenders party thereto, and Axos Bank, dated as of June 18, 2025.
+Added: 10.9§* Revolving Credit, Term Loan and Security Agreement among Tiger US Holdings Inc., as the Initial Borrower;
+Added: the other Borrowers that are party thereto;
+Added: other loan parties that are party thereto;
+Added: and PNC Bank, National Association, as Lender and Agent, dated as of October 18, 2022.
+Added: Amendment No.
+Added: 1 to Revolving Credit, Term Loan and Security Agreement by and among Tiger US Holdings Inc., as the Initial Borrower;
+Added: the other Borrowers that are party thereto;
+Added: other loan parties that are party thereto;
+Added: and PNC Bank, National Association, as Lender and Agent, dated as of October 31, 2023.
+Added: Amendment No.
+Added: 2 to Revolving Credit, Term Loan and Security Agreement by and among Tiger US Holdings Inc., as the Initial Borrower;
+Added: the other Borrowers that are party thereto;
+Added: other loan parties that are party thereto;
+Added: and PNC Bank, National Association, as Lender and Agent, dated as of February 20, 2024.
+Added: Amendment No.
+Added: 3 to Revolving Credit, Term Loan and Security Agreement by and among Tiger US Holdings Inc., as the Initial Borrower;
+Added: the other Borrowers that are party thereto;
+Added: other loan parties that are party thereto;
+Added: and PNC Bank, National Association, as Lender and Agent, dated as of June 27, 2024.
+Added: Amendment No.
+Added: 4 to Revolving Credit, Term Loan and Security Agreement by and among Tiger US Holdings Inc., as the Initial Borrower;
+Added: the other Borrowers that are party thereto;
+Added: other loan parties that are party thereto;
+Added: and PNC Bank, National Association, as Lender and Agent, dated as of November 7, 2024.
+Added: Amendment No.
+Added: 5 to Revolving Credit, Term Loan and Security Agreement by and among Tiger US Holdings Inc., as the Initial Borrower;
+Added: the other Borrowers that are party thereto;
+Added: other loan parties that are party thereto;
+Added: and PNC Bank, National Association, as Lender and Agent, dated as of May 9, 2025.
+Added: 10.15* Keepwell Agreement by and among B.
+Added: Riley Financial, Inc., B.
+Added: Riley Principal Investments, LLC, Tiger US Holdings Inc., and PNC Bank, National Association, as Agent, dated February 20, 2024.
+Added: 10.16* Amendment No.
+Added: 1 to Keepwell Agreement by and among B.
+Added: Riley Financial, Inc., B.
+Added: Riley Principal Investments, LLC, Tiger US Holdings Inc., and PNC Bank, National Association, as Agent, dated November 7, 2024.
+Added: 10.17* Amendment No.
+Added: 2 to Keepwell Agreement by and among B.
+Added: Riley Financial, Inc., B.
+Added: Riley Principal Investments, LLC, Tiger US Holdings Inc., and PNC Bank, National Association, as Agent, dated May 9, 2025.
+Added: Form of Warrant, for warrants issued to VR Global Partners, L.P.
+Added: , dated as of June 30, 2025.
+Added: Registration Rights Agreement by and between B.
+Added: Riley Financial, Inc., and VR Global Partners, L.P.
+Added: dated as of June 30, 2025.
+Added: F orm of Warrant, for warrants issued to Great American Insurance Company, Great American Contemporary Insurance Company, and National Interstate Insurance Company (collectively “ AFG ” ) , dated as of April 7, 2025.
+Added: Registration Rights Agreement by and between B.
+Added: Riley Financial, Inc ., and Great American Insurance Company, Great American Contemporary Insurance Company, and National Interstate Insurance Company (collectively “ AFG ” ) , dated as of April 7, 2025.
31.1* Certification of Co-Chief Executive Officer pursuant to Rules 13a-14 and 15d-14 promulgated under the Securities Exchange Act of 1934
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The Company agrees to furnish supplementally a copy of any omitted schedule or exhibit to the SEC upon request.
+Added: † The Warrant Agreements between the Company and each of Annuity Investors Life Insurance Company, C.M.
+Added: Life Insurance Company, Massachusetts Mutual Life Insurance Company and MassMutual Ascend Life Insurance Company are substantially identical in all material respects to the Form of Warrant incorporated herein by reference to Exhibit 10.1 of the Company’s Form 8-K, filed on May 28, 2025, except that the “Issuance Amounts” in such holders’ agreements are 2,636, 13,384, 278,788 and 77,460, respectively.
+Added: ‡ The Warrant Agreements between the Company and each of Great American Insurance Company, Great American Contemporary Insurance Company, and National Interstate Insurance Company are substantially identical in all material respects to the Form of Warrant incorporated herein, except that the “Issuance Amounts” in such holders’ agreements are 36,496, 1,736, and 1,736, respectively.
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.
−Removed: November 18, 2025
+Added: December 15, 2025
/s/ SCOTT YESSNER
3 unchanged sentences
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.