# EDGAR Filing Document

**Accession Number:** 0001464790
**File Stem:** 0001213900-26-000445
**Filing Date:** 2026-1
**Character Count:** 21531
**Document Hash:** b2504b8f3522f85da4837bba58526926
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001213900-26-000445.hdr.sgml**: 20260102

**ACCESSION NUMBER**: 0001213900-26-000445

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 17

**CONFORMED PERIOD OF REPORT**: 20260101

**ITEM INFORMATION**: Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year

**ITEM INFORMATION**: Financial Statements and Exhibits

**FILED AS OF DATE**: 20260102

**DATE AS OF CHANGE**: 20260102

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** BRC Group Holdings, Inc.
- **CENTRAL INDEX KEY:** 0001464790
- **STANDARD INDUSTRIAL CLASSIFICATION:** INVESTMENT ADVICE [6282]
- **ORGANIZATION NAME:** 02 Finance
- **EIN:** 270223495
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-37503
- **FILM NUMBER:** 26502321

**BUSINESS ADDRESS:**
- **STREET 1:** 11100 SANTA MONICA BLVD
- **STREET 2:** SUITE 800
- **CITY:** LOS ANGELES
- **STATE:** CA
- **ZIP:** 90025
- **BUSINESS PHONE:** 818-884-3737

**MAIL ADDRESS:**
- **STREET 1:** 11100 SANTA MONICA BLVD
- **STREET 2:** SUITE 800
- **CITY:** LOS ANGELES
- **STATE:** CA
- **ZIP:** 90025

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** B. Riley Financial, Inc.
- **DATE OF NAME CHANGE:** 20141104

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Great American Group, Inc.
- **DATE OF NAME CHANGE:** 20090522

?xml version='1.0' encoding='ASCII'?

**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): January 1, 2026**

**BRC GROUP HOLDINGS, INC.**

(Exact name of registrant as specified in its charter)

---

| | | |
|:---|:---|:---|
| **Delaware** | **001-37503** | **27-0223495** |
| (State or other jurisdiction<br> of incorporation) | (Commission File Number) | (IRS Employer<br> Identification No.) |

---

**11100 Santa Monica Blvd., Suite 800**

**Los Angeles, CA 90025**

**<u>310-966-1444</u>**

(Address, Including Zip Code, and Telephone Number, Including Area Code, of Registrant's Principal Executive Offices)

**Securities registered pursuant to Section 12(b) of the Act:**

---

| | | |
|:---|:---|:---|
| **Title of each class** | **Trading Symbol(s)** | **Name of each exchange on which<br> registered** |
| **Common Stock, par value $0.0001 per share** | **RILY** | **Nasdaq Global Market** |
| **Depositary Shares (each representing a 1/1000th interest in a 6.875% Series A Cumulative Perpetual Preferred Share, par value $0.0001 per share)** | **RILYP** | **Nasdaq Global Market** |
| **Depositary Shares, each representing a 1/1000th fractional interest in a 7.375% share of Series B Cumulative Perpetual Preferred Stock** | **RILYL** | **Nasdaq Global Market** |
| **5.00% Senior Notes due 2026** | **RILYG** | **Nasdaq Global Market** |
| **5.50% Senior Notes due 2026** | **RILYK** | **Nasdaq Global Market** |
| **6.50% Senior Notes due 2026** | **RILYN** | **Nasdaq Global Market** |
| **5.25% Senior Notes due 2028** | **RILYZ** | **Nasdaq Global Market** |
| **6.00% Senior Notes due 2028** | **RILYT** | **Nasdaq Global Market** |

---

**B. RILEY FINANCIAL, INC.**

(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:

☐ 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))

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

**Item 5.03. Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Years*.***

As previously announced, on January 1, 2026, B. Riley Financial, Inc. (now BRC Group Holdings, Inc., the "Company") filed with the Secretary of State of the State of Delaware a Certificate of Amendment to the Company's Amended and Restated Certificate of Incorporation (the "Amended Certificate") to change the Company's corporate name from B. Riley Financial, Inc. to BRC Group Holdings, Inc., effective on such date. A copy of the Amended Certificate is attached as Exhibit 3.1 hereto and incorporated by reference. The Amended Certificate also amends our Certificate of Designation designating the 6.875% Series A Cumulative Perpetual Preferred Stock and our Certificate of Designation designating the 7.375% Series B Cumulative Perpetual Preferred Stock.

In connection with our name change, the Company's Board of Directors approved the amendment of the Company's by-laws to reflect the new corporate name also effective on January 1, 2026. No other changes were made to the Company's by-laws. A copy of Amendment No. 2 to the Company's Amended and Restated By-laws reflecting this amendment is attached as Exhibit 3.2 hereto and incorporated by reference.

In addition, the Company entered into the Eighth Supplemental Indenture, by and between the Company and The Bank of New York Mellon Trust Company, N.A., as trustee, dated as of January 1, 2026 (the "Eighth Supplemental Indenture"), to amend the Company's name in (i) its Indenture, dated as of May 7, 2019, as supplemented by the First Supplemental Indenture, dated as of May 7, 2019, the Second Supplemental Indenture, dated as of September 23, 2019, the Third Supplemental Indenture, dated as of February 12, 2020, the Fourth Supplemental Indenture, dated as of January 25, 2021, the Fifth Supplemental Indenture, dated as of March 29, 2021, the Sixth Supplemental Indenture, dated as of August 6, 2021 and the Seventh Supplemental Indenture, dated as of December 3, 2021 and (ii) in its publicly traded senior notes, including the Company's 5.00% Senior Notes due 2026, 5.50% Senior Notes due 2026, 6.50% Senior Notes due 2026, 5.25% Senior Notes due 2028 and 6.00% Senior Notes due 2028. A copy of the Eighth Supplemental Indenture is attached hereto as Exhibit 3.3 hereto and incorporated by reference.

The Company's shares of common stock and preferred stock, and the Company's senior notes, will continue to trade on The NASDAQ Stock Market under the same ticker symbols as previously used. Outstanding stock certificates for shares of the Company's stock are not affected by the name change; they continue to be valid and need not be exchanged.

**Item 9.01. Financial Statements and Exhibits.**

**(d) Exhibits**

---

| | |
|:---|:---|
| **Exhibit No.** | **Description** |
| 3.1 | [Certificate of Amendment of Amended and Restated Certificate of Incorporation, dated as of January 1, 2026.](ea027094801ex3-1_brcgroup.htm) |
| 3.2 | [Amendment No. 2 to Amended and Restated By-laws, dated as of January 1, 2026.](ea027094801ex3-2_brcgroup.htm) |
| 3.3 | [Eighth Supplemental Indenture, by and between the Registrant and The Bank of New York Mellon Trust Company, N.A., as trustee, dated as of January 1, 2026.](ea027094801ex3-3_brcgroup.htm) |
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) |

---

**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.

---

| | |
|:---|:---|
| BRC Group Holdings, Inc. (f/k/a B. Riley Financial, Inc.) | BRC Group Holdings, Inc. (f/k/a B. Riley Financial, Inc.) |
| By: | /s/ Scott Yessner |
| Name: | Scott Yessner |
| Title: | EVP & CFO |

---

Date: January 2, 2026

## Exhibit 3.1

**Exhibit 3.1**

---

| | |
|:---|:---|
| **<u>Delaware</u>** | Page 1 |
| **The First State** |  |

---

**I, CHARUNI PATIBANDA-SANCHEZ, SECRETARY OF STATE OF THE STATE OF DELAWARE, DO HEREBY CERTIFY THE ATTACHED IS A TRUE AND CORRECT COPY OF THE CERTIFICATE OF AMENDMENT OF "B. RILEY FINANCIAL, INC.", CHANGING ITS NAME FROM "B. RILEY FINANCIAL, INC." TO "BRC GROUP HOLDINGS, INC.", FILED IN THIS OFFICE ON THE TWENTY-SECOND DAY OF DECEMBER, A.D. 2025, AT 2:37 O`CLOCK P.M.**

**AND I DO HEREBY FURTHER CERTIFY THAT THE EFFECTIVE DATE OF THE AFORESAID CERTIFICATE OF AMENDMENT IS THE FIRST DAY OF JANUARY, A.D. 2026.**

---

| |
|:---|
| /s/ Charuni Patibanda-Sanchez |
| **Charuni Patibanda-Sanchez, Secretary of State** |

---

4676810 8100 Authentication: 205698779 <br> SR# 20254962325 Date: 12-22-25

You may verify this certificate online at corp.delaware.gov/authver.shtml

---

| |
|:---|
| **State of Delaware** |
| **Secretary of State** |
| **Division of Corporations** |
| **Delivered 02:37 PM 12/22/2025** |
| **FILED 02:37 PM 12/22/2025** |
| **SR 20254962325 - File Number 4676810** |

---

STATE OF DELAWARE

CERTIFICATE OF AMENDMENT

OF CERTIFICATE OF INCORPORATION

The corporation organized and existing under the General Corporation Law of the State of Delaware, hereby certifies as follows:

1. The name of the corporation is <u>B. Riley Financial, Inc.</u>

2. The Certificate of Incorporation of the corporation is hereby amended by changing the Article thereof numbered ONE so that, as amended, said Article shall be and read as follows:

The name of the Corporation (the "Corporation") is BRC Group Holdings, Inc.

3. That said amendment was duly adopted in accordance with the provisions of Section 242 of the General Corporation Law of the State of Delaware.

4. This Certificate of Amendment shall become effective January 1, 2026.

---

| | |
|:---|:---|
| By: | /s/ Thomas Kelleher |
|  | Authorized Officer |
| Name: | Thomas Kelleher |
|  | Print or Type |

---

## Exhibit 3.2

**Exhibit 3.2**

**CERTIFICATE OF**

**AMENDMENT TO THE**

**AMENDED AND RESTATED BYLAWS OF BRC GROUP HOLDINGS, INC.**

**a Delaware corporation**

The undersigned does hereby certify that:

&nbsp;&nbsp;&nbsp;&nbsp;1. He is the duly qualified Secretary of BRC Group Holdings, Inc. (f/k/a B. Riley Financial, Inc.), a duly organized and existing Delaware
corporation (the "  ***Corporation*** ").

&nbsp;&nbsp;&nbsp;&nbsp;2. Effective as of January 1, 2026, the Corporation's Amended and Restated Bylaws (as amended, the "  ***Bylaws*** ")
were amended as set forth on Exhibit A attached hereto.

&nbsp;&nbsp;&nbsp;&nbsp;3. The foregoing amendment to the Bylaws was duly approved and adopted by the Corporation's Board of Directors and filed with the
undersigned.

---

| | |
|:---|:---|
| Dated: January 1, 2026 |  |
|  | <u>/s/ Alan Forman</u> |
|  | Alan Forman, Secretary |

---

**<u>EXHIBIT A</u>**

**<u> </u>**

**AMENDMENT NO. 2 TO THE**

**AMENDED AND RESTATED BYLAWS OF**

**BRC GROUP HOLDINGS, INC. (F/K/A B. RILEY FINANCIAL, INC.)**

a Delaware corporation

The Amended and Restated Bylaws, dated as of November 6, 2014, as amended by the Amendment to the Amended and Restated Bylaws, dated as of April 3, 2019 (as amended, the "***Bylaws***") of BRC Group Holdings, Inc. (f/k/a B. Riley Financial, Inc), a Delaware corporation (the "***Corporation***"), are hereby amended, effective January 1, 2026 (the "***Effective Date***"), to amend and restate the Bylaws as follows:

&nbsp;&nbsp;&nbsp;&nbsp;1. As of the Effective Date, all references in the Bylaws to "B. Riley Financial, Inc." shall mean "BRC Group Holdings,
Inc.".

\*\*\*\*\*

## Exhibit 3.3

**Exhibit 3.3**

**BRC Group Holdings, Inc. (f/k/a B. Riley Financial, Inc.)**

**and**

**The Bank of New York Mellon Trust Company, N.A., as Trustee**

**EIGHTH SUPPLEMENTAL INDENTURE**

**Dated as of January 1, 2026**

**to the Indenture dated as of May 7, 2019**

**5.00% Senior Notes due 2026**

**5.50% Senior Notes due 2026**

**6.50% Senior Notes due 2026**

**5.25% Senior Notes due 2028**

**6.00% Senior Notes due 2028**

**EIGHTH SUPPLEMENTAL INDENTURE**

EIGHTH SUPPLEMENTAL INDENTURE (this "<u>Eighth Supplemental Indenture</u>"), dated as of January 1, 2026, between BRC Group Holdings, Inc. (f/k/a B. Riley Financial, Inc.), a Delaware corporation (the "<u>Company</u>"), and The Bank of New York Mellon Trust Company, N.A., as trustee (the "<u>Trustee</u>").

**RECITALS OF THE COMPANY**

**WHEREAS**, the Company and the Trustee executed and delivered an Indenture, dated as of May 7, 2019 (the "<u>Base Indenture</u>"), as supplemented by the First Supplemental Indenture, dated as of May 7, 2019 (the "<u>First Supplemental Indenture</u>"), the Second Supplemental Indenture, dated as of September 23, 2019 (the "<u>Second Supplemental Indenture</u>"), the Third Supplemental Indenture, dated as of February 12, 2020 (the "<u>Third Supplemental Indenture</u>") and the Fourth Supplemental Indenture, dated as of January 25, 2021 (the "<u>Fourth Supplemental Indenture</u>"), the Fifth Supplemental Indenture, dated as of March 29, 2021 (the "<u>Fifth Supplemental Indenture</u>"), the Sixth Supplemental Indenture, dated as of August 6, 2021 (the "<u>Sixth Supplemental Indenture</u>") and the Seventh Supplemental Indenture, dated as of December 3, 2021 (the "<u>Seventh Supplemental Indenture</u>," and, together with the Base Indenture, the First Supplemental Indenture, the Second Supplemental Indenture, the Third Supplemental Indenture, the Fourth Supplemental Indenture, the Fifth Supplemental Indenture and the Sixth Supplemental Indenture, the "<u>Indenture</u>") to provide for the issuance by the Company from time to time of Securities to be issued in one or more series as provided in the Indenture;

**WHEREAS**, Section 9.1 of the Base Indenture provides, among other things, that the Company and the Trustee may enter into indentures supplemental to the Base Indenture, without the consent of any Holders of Securities, to evidence to undertake clarifications and certain other changes that would not adversely affect Holders in any material respect;

**WHEREAS,** effective January 1, 2026, the legal name of the Company was changed from B. Riley Financial, Inc. to BRC Group Holdings, Inc. by means of an amendment to the Company's Amended and Restated Certificate of Incorporation, as such Amended and Restated Certificate of Incorporation had been previously amended prior to the date hereof, and which amendment to the Amended and Restated Certificate of Incorporation was effective as of January 1, 2026. In light of the change of the legal name of the Company, the Company desires to enter into this Eighth Supplemental Indenture for the purpose of evidencing such name change;

**WHEREAS**, the Company desires to execute this Eighth Supplemental Indenture, pursuant to Section 9.1 of the Base Indenture, to change its corporate name from B. Riley Financial, Inc. to BRC Group Holdings, Inc., effective as of January 1, 2026;

**WHEREAS,** the Company has requested and hereby requests that the Trustee execute and deliver this Eighth Supplemental Indenture;

**WHEREAS,** the execution and delivery of this Eighth Supplemental Indenture has been duly authorized by the Company and all things necessary have been done by the Company to make this Eighth Supplemental Indenture, when executed and delivered by the Company, a valid and binding supplement to the Indenture and agreement of the Company;

**NOW, THEREFORE,** in consideration of the premises stated herein, the Company and the Trustee mutually covenant and agree for the equal and proportionate benefit of the respective Holders from time to time of the Notes as follows:

Section 1.01. <u>Certain Terms Defined in the Base Indenture</u>.

For purposes of this Eighth Supplemental Indenture, all capitalized terms used but not defined herein shall have the meanings ascribed to such terms in the Base Indenture.

Section 2.01. <u>Change of Corporate Name</u>. All references in the Indenture to "B. Riley Financial, Inc." shall mean "BRC Group Holdings, Inc."

Section 3.01. <u>Effectiveness</u>. This Eighth Supplemental Indenture shall be effective from and after the date first written above.

Section 4.01. <u>Governing Law</u>. This Eighth Supplemental Indenture shall be governed by and construed in accordance with the laws of the State of New York.

Section 5.01. <u>Trust Indenture Act Controls</u>. If any provision of this Eighth Supplemental Indenture limits, qualifies or conflicts with another provision which is required to be included in this Eighth Supplemental Indenture by the Trust Indenture Act, the required provision shall control. If any provision of this Eighth Supplemental Indenture modifies or excludes any provision of the Trust Indenture Act which may be so modified or excluded, the latter provision shall be deemed to apply to this Eighth Supplemental Indenture as so modified or to be excluded, as the case may be.

Section 6.01. <u>Counterparts</u>. This Eighth Supplemental Indenture may be executed in any number of counterparts, each of which so executed shall be deemed to be an original, but all such counterparts shall together constitute but one and the same instrument. The exchange of copies of this Eighth Supplemental Indenture and of signature pages that are executed by manual signatures that are scanned, photocopied or faxed or by other electronic signing created on an electronic platform (such as DocuSign) or by digital signing (such as Adobe Sign), in each case that is approved by the Trustee, shall constitute effective execution and delivery of this Eighth Supplemental Indenture for all purposes. Signatures of the parties hereto that are executed by manual signatures that are scanned, photocopied or faxed or by other electronic signing created on an electronic platform (such as DocuSign) or by digital signing (such as Adobe Sign), in each case that is approved by the Trustee, shall be deemed to be their original signatures for all purposes of this Eighth Supplemental Indenture as to the parties hereto and may be used in lieu of the original.

Anything in the Base Indenture or this Eighth Supplemental Indenture to the contrary notwithstanding, for the purposes of the transactions contemplated by the Base Indenture, this Eighth Supplemental Indenture and any document to be signed in connection with the Base Indenture or this Eighth Supplemental Indenture (including the Officer's Certificates and Opinions of Counsel) or the transactions contemplated hereby may be signed by manual signatures that are scanned, photocopied or faxed or other electronic signatures created on an electronic platform (such as DocuSign) or by digital signature (such as Adobe Sign), in each case that is approved by the Trustee, and contract formations on electronic platforms approved by the Trustee, and the keeping of records in electronic form, are hereby authorized, and each shall be of the same legal effect, validity or enforceability as a manually executed signature in ink or the use of a paper-based recordkeeping system, as the case may be.

Section 7.01. <u>Severability</u>. If any provision of this Eighth Supplemental Indenture shall be held to be illegal or unenforceable under applicable law, then the remaining provisions hereof shall be construed as though such invalid, illegal or unenforceable provision were not contained therein.

Section 9.01. <u>Concerning the Trustee</u>. In entering into this Eighth Supplemental Indenture, the Trustee shall be entitled to the benefit of every provision of the Indenture relating to the conduct or affecting the liability of or affording protection to the Trustee, whether or not elsewhere herein so provided. The Trustee makes no representations as to the validity, execution or sufficiency of this Eighth Supplemental Indenture other than as to the validity of its execution and delivery by the Trustee. The Trustee assumes no responsibility for the correctness of the recitals contained herein, which shall be taken as a statement of the Company.

*[Signature page follows.]*

 

 

IN WITNESS WHEREOF, the parties hereto have caused this Eighth Supplemental Indenture to be duly executed as of the date first above written.

---

| | | |
|:---|:---|:---|
| BRC GROUP HOLDINGS, INC. (F/K/A B. RILEY FINANCIAL, INC.) | BRC GROUP HOLDINGS, INC. (F/K/A B. RILEY FINANCIAL, INC.) | BRC GROUP HOLDINGS, INC. (F/K/A B. RILEY FINANCIAL, INC.) |
| By: | /s/ Bryant Riley | /s/ Bryant Riley |
|  | Name: | Bryant Riley |
|  | Title: | Co-Chief Executive Officer |

---

[*Signature Page to Eighth Supplemental Indenture*]

---

| | | |
|:---|:---|:---|
| THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A., as Trustee | THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A., as Trustee | THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A., as Trustee |
| By: | /s/ Terence Rawlins | /s/ Terence Rawlins |
|  | Name: | Terence Rawlins |
|  | Title: | Vice President |

---

[*Signature Page to BRC Group Holdings, Inc. (f/k/a B. Riley Financial, Inc.) Eighth Supplemental Indenture*]