Annual report
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington , D.C. 20549 ( Mark One ) ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 ( d ) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31 , 2020 FORM 10 - K □ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 ( d ) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from Delaware ( State or Other Jurisdiction of Incorporation or Organization ) 11100 Santa Monica Blvd. , Suite 800 Los Angeles , CA ( Address of principal executive offices ) Or Commission File Number 001-37503 B. RILEY FINANCIAL , INC . ( Exact name of registrant as specified in its charter ) Securities registered pursuant to Section 12 ( b ) of the Act : Title of each class Common Stock , par value $ 0.0001 per share Depositary Shares , each representing a 1 / 1000th fractional interest in a share of Series A Cumulative Perpetual Preferred Stock Depositary Shares , each representing a 1 / 1000th fractional interest in a 7.375 % share of Series B Cumulative Perpetual Preferred Stock 7.25 % Senior Notes due 2027 7.50 % Senior Notes due 2027 6.50 % Senior Notes due 2026 6.375 % Senior Notes due 2025 6.75 % Senior Notes due 2024 7.375 % Senior Notes due 2023 6.875 % Senior Notes due 2023 6.00 % Senior Notes due 2028 ( 310 ) 966-1444 ( Registrant's telephone number , including area code ) Trading Symbol ( s ) RILY to RILYP RILYL RILYG RILYZ RILYN RILYM RILYO RILYH RILYI RILYT 27-0223495 ( I.R.S. Employer Identification No. ) 90025 ( Zip Code ) Name of each exchange on which registered Nasdaq Global Market Nasdaq Global Market Nasdaq Global Market Nasdaq Global Market Nasdaq Global Market Nasdaq Global Market Nasdaq Global Market Nasdaq Global Market Nasdaq Global Market Nasdaq Global Market Nasdaq Global Market Securities registered pursuant to Section 12 ( g ) of the Act : None Indicate by check mark if the registrant is a well - known seasoned issuer , as defined in Rule 405 of the Securities Act . Yes : No Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15 ( d ) of the Act . Yes : No