Current Report Filing (8-k)
February 21 2017 - 8:10AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 8-K
CURRENT
REPORT
PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934
Date of Report (Date of earliest
event reported): February 21, 2017
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B. Riley Financial, Inc.
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(Exact name of registrant as specified in its charter)
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Delaware
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000-54010
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27-0223495
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(State of
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(Commission File Number)
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(IRS Employer
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Incorporation)
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Identification No.)
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21255 Burbank Boulevard, Suite 400, Woodland Hills, California 91367
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(Address of principal executive offices and zip code)
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(818)
884-3737
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(Registrants telephone number, including area code)
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N/A
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(Former name or former address, if changed since last report)
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Check the appropriate box below if the Form
8-K
filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (
see
General Instruction A.2. below):
[X] Written communications pursuant to Rule 425 under the Securities Act (17 CFR
230-425)
[ ] Soliciting material pursuant to Rule
14a-12
under the Exchange Act (17 CFR
240.14a-12)
[ ]
Pre-commencement
communications pursuant to Rule
14d-2(b)
under the Exchange Act (17 CFR
240.14d-2(b))
[ ]
Pre-commencement
communications pursuant to Rule
13e-4(c)
under the Exchange Act (17 CFR
240.13e-4(c))
Item 8.01 Other Events
On February 21, 2017, B. Riley Financial, Inc. (the
Company
) and FBR & Co. (
FBR
) issued a
joint press release announcing the execution of an Agreement and Plan of Merger, dated as of February 17, 2017, by and between the Company and FBR, pursuant to which FBR will merge with and into the Company (or a subsidiary of the Company),
with the Company (or its subsidiary) as the surviving corporation, subject to the terms and conditions set forth therein. A copy of the press release is attached hereto as Exhibit 99.1 and is incorporated herein by reference. In addition, the
Company and FBR intend to make available to investors the slides attached hereto as Exhibit 99.2, which are incorporated herein by reference.
Item 9.01 Financial Statements and Exhibits.
(d) Exhibits.
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Exhibit
Number
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Description
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99.1
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Joint Press Release, dated February 21, 2017.
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99.2
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Investor Presentation, dated February 21, 2017.
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SIGNATURE
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 hereunto duly authorized.
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B. Riley Financial, Inc.
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By:
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/s/ Phillip J. Ahn
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Name:
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Phillip J. Ahn
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Title:
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Chief Financial Officer and Chief Operating Officer
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Date: February 21, 2017
EXHIBIT INDEX
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Exhibit
Number
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Description
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99.1
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Joint Press Release, dated February 21, 2017.
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99.2
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Investor Presentation, dated February 21, 2017.
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