Other Information .
+Added: Certain of our officers have made elections to participate in, and are participating in, our employee stock purchase plan and 401(k) plan and have made, and may from time to time make, elections to have shares withheld upon the vesting of restricted stock units to cover withholding taxes, which may be designed to satisfy the affirmative defense conditions of Rule 10b5-1 under the Exchange Act or may constitute non-Rule 10b5-1 trading arrangements (as defined in Item 408(c) of Regulation S-K).
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.
14 unchanged sentences
8-K 10.6 4/14/2023
+Added: 10.7 Equity Commitment Letter, dated as of May 10, 2023, by and between B.
+Added: Riley Financial, Inc., Freedom VCM, Inc.
+Added: and Freedom VCM Holdings, LLC.
+Added: 8-K 10.1 5/11/2023
+Added: 10.8 Limited Guarantee, dated of May 10, 2023, by and between B.
+Added: Riley Financial, Inc.
+Added: and Franchise Group, Inc.
+Added: 8-K 10.2 5/11/2023
31.1* Certification of Co-Chief Executive Officer pursuant to Rules 13a-14 and 15d-14 promulgated under the Securities Exchange Act of 1934
20 unchanged sentences
Riley Financial, Inc.
+Added: August 9, 2023
/s/ PHILLIP J.
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.