Other Information .
−Removed: The exhibits filed as part
−Removed: of this Quarterly Report are listed in the index to exhibits immediately preceding such exhibits, which index to exhibits is incorporated
−Removed: herein by reference.
+Added: 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
+Added: Description Form Exhibit Filing Date
+Added: 10.1 Third Amended and Restated Credit Agreement, dated as of April 20, 2022, by and among B.
+Added: Riley Retail Solutions WF, LLC, B.
+Added: Riley Retail, Inc., B.
+Added: Riley Retail Canada, ULC, Wells Fargo Bank, National Association and Wells Fargo Capital Finance Corporation Canada
+Added: 8-K 10.1 4/25/2022
31.1* Certification of Co-Chief Executive Officer pursuant to Rules 13a-14 and 15d-14 promulgated under the Securities Exchange Act of 1934
31.2* Certification of Co-Chief Executive Officer pursuant to Rules 13a-14 and 15d-14 promulgated under the Securities Exchange Act of 1934
−Removed: Certification of Chief Financial Officer pursuant to Rules 13a-14 and 15d-14 promulgated under the Securities Exchange Act of 1934
+Added: 31.3* Certification of Chief Financial Officer and Chief Operating Officer pursuant to Rules 13a-14 and 15d-14 promulgated under the Securities Exchange Act of 1934
32.1** Certification of Co-Chief Executive Officer pursuant to 18 U.S.C.
2 unchanged sentences
Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002
−Removed: Certification of Chief Financial Officer pursuant to 18 U.S.C.
+Added: 32.3** Certification of Chief Financial Officer and Chief Operating Officer pursuant to 18 U.S.C.
Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002
−Removed: Inline XBRL Instance Document .
−Removed: Inline XBRL Taxonomy Extension Schema Document .
−Removed: Inline XBRL Taxonomy Extension Calculation Linkbase Document .
−Removed: Inline XBRL Taxonomy Extension Definition Linkbase Document .
−Removed: Inline XBRL Taxonomy Extension Label Linkbase Document .
−Removed: Inline XBRL Taxonomy Extension Presentation Linkbase Document.
+Added: 101.INS* Inline XBRL Instance Document.
+Added: 101.SCH* Inline XBRL Taxonomy Extension Schema Document.
+Added: 101.CAL* Inline XBRL Taxonomy Extension Calculation Linkbase Document.
+Added: 101.DEF* Inline XBRL Taxonomy Extension Definition Linkbase Document.
+Added: 101.LAB Inline XBRL Taxonomy Extension Label Linkbase Document.
+Added: 101.PRE Inline XBRL Taxonomy Extension Presentation Linkbase Document.
104 Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101).
−Removed: contract or compensatory plan or arrangement
−Removed: Pursuant to the
−Removed: requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned
−Removed: thereunto duly authorized.
+Added: _______________________________________________
+Added: * Filed herewith.
+Added: ** Furnished herewith.
+Added: # Management contract or compensatory plan or arrangement
+Added: 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 9, 2021
+Added: April 29, 2022
+Added: /s/ PHILLIP J.
Chief Financial Officer and
2 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.