Form 424B5 - Prospectus [Rule 424(b)(5)]
2023年7月28日 - 5:24AM
Edgar (US Regulatory)
Filed pursuant to Rule 424(b)(5)
Registration No. 333-252513
AMENDMENT NO. 1 DATED JULY 27, 2023
to Prospectus Supplement dated July 25, 2023
(To Prospectus dated January 28, 2021)
1,818,182 shares of Common Stock
This Amendment No. 1 to Prospectus
Supplement (“Amendment”) amends our final prospectus supplement dated July 25, 2023 (“Prospectus Supplement”),
and the accompanying prospectus dated January 28, 2021 (the “Prospectus”). This Amendment to the Prospectus Supplement should
be read in conjunction with the Prospectus Supplement and the Prospectus, and is qualified by reference thereto, except to the extent
that the information herein amends or supersedes the information contained in the Prospectus Supplement. Except as specifically amended
by this Amendment, all portions of the Prospectus Supplement and the Prospectus remain in full force and effect.
We are filing this Amendment
solely for the purpose of adding Exhibit 107.
This Amendment is not complete without, and may only be delivered or utilized in connection
with, the Prospectus Supplement and the Prospectus, and any future amendments or supplements thereto.
Investing in our common
stock involves a high degree of risk. You should carefully consider the risks described under “Risk Factors” beginning on
page S-11 of the Prospectus Supplement, page 3 of the Prospectus and in the documents incorporated herein by reference, before purchasing
any shares of our common stock offered by the Prospectus Supplement and Prospectus.
Neither the U.S. Securities
and Exchange Commission nor any state securities commission has approved or disapproved of these securities or determined if this prospectus
supplement or the accompanying prospectus is truthful or complete. Any representation to the contrary is a criminal offense.
B. Riley Securities
The date of this Amendment No. 1 to Prospectus
Supplement is July 27, 2023
Exhibit 107
Calculation of Filing Fee Table
424(b)(5)
(Form Type)
B. Riley Financial, Inc.
(Exact Name of Registrant as Specified in its Charter)
Table 1: Newly Registered Securities
| |
Security Type | |
Security Class Title | |
Fee Calculation Rule | |
Amount Registered | | |
Proposed Maximum Offering Price Per Unit | | |
Maximum Aggregate Offering Price | | |
Fee Rate | | |
Amount of Registration Fee | |
Fees to be Paid | |
Equity | |
Common Stock, par value $0.0001 per share | |
Rule 457(o) and 457(r) | |
| - | | |
| - | | |
$ | 114,999,995 | | |
| 0.00011020 | | |
$ | 12,673 | (1) |
Total Offering Amounts | | |
$ | 114,999,995 | | |
| | | |
$ | 12,673 | (1) |
Total Fees Previously Paid | | |
| | | |
| | | |
| - | |
Total Fee Offsets | | |
| | | |
| | | |
| - | |
Net Fee Due | | |
| | | |
| | | |
$ | 12,673 | (1) |
| (1) | Calculated in accordance with
Rule 457(o) based on the proposed maximum aggregate offering price, and Rule 457(r) under the Securities Act of 1933, as amended. In
accordance with Rules 456(b) and 457(r) under the Securities Act of 1933, as amended, the registrant initially deferred payment of all
of the registration fee for Registration Statement on Form S-3ASR (File No. 333-252513), except with respect to unsold securities
that have been previously registered. |
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