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): May 24, 2016

 

B. RILEY FINANCIAL, INC.

(Exact name of registrant as specified in its charter)

 

         
Delaware   000-54010   27-0223495
         

(State or other jurisdiction

of incorporation)

   (Commission File Number)   (IRS Employer Identification No.)

 

     

21860 Burbank Boulevard, Suite 300 South

Woodland Hills, California

   91367
     
(Address of principal executive offices)   (Zip Code)

 

Registrant’s telephone number, including area code: (818) 884-3737

 

(Former name or former address, if changed since last report.)

 

 

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:

 

o   Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
     
o   Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
     
o   Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
     
o   Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 
 

Item 5.07. Submission of Matters to a Vote of Security Holders.

 

The 2016 annual meeting of stockholders (the “Annual Meeting”) of B. Riley Financial, Inc. (the “Company”) was held on May 24, 2016. Set forth below are the final voting results for each of the proposals submitted to a vote of the stockholders of the Company at the Annual Meeting.

 

  1. Election of Directors:

    Votes For   Votes Withheld   Broker Non-Votes
Robert D’Agostino   13,619,489   19,674   208,113
Andrew Gumaer   13,638,933   230   208,113
Thomas J. Kelleher   13,637,163   2,000   208,113
Bryant R. Riley   13,637,163   2,000   208,113
Mikel H. Williams   13,638,963   200   208,113
Kenneth M. Young   13,638,813   350   208,113

 

  1. Ratification of the selection of Marcum LLP as independent registered public accounting firm for the fiscal year ending December 31, 2016:
Votes For   Votes Against   Abstentions
13,846,365   0   911

 

  1. Advisory vote to approve the compensation of the Company’s named executed officers:
Votes For   Votes Against   Abstentions   Broker Non-Votes
13,634,091   4,149   923   208,113

 

 
 

SIGNATURES

 

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.

 

 

         
May 27, 2016

B. RILEY FINANCIAL, INC.

 

  
  By:   /s/ Phillip J. Ahn                                   
    Name:   Phillip J. Ahn  
    Title:  

Chief Financial Officer and

Chief Operating Officer