ContractUnderwriting Agreement • February 12th, 2020 • B. Riley Financial, Inc. • Services-business services, nec • New York
The Notes will be issued under an indenture dated as of May 7, 2019 (the “Base Indenture”), as supplemented by the First Supplemental Indenture dated as of May 7, 2019 (the “First Supplemental Indenture”), the Second Supplemental Indenture dated as of September 23, 2019 (the “Second Supplemental Indenture”) and the Third Supplemental Indenture to be dated as of February 12, 2020 (the “Third Supplemental Indenture” and together with the Base Indenture, the First Supplemental Indenture and the Second Supplemental Indenture, the “Indenture”), between the Company and The Bank of New York Mellon National Association, as trustee (the “Trustee”). The Notes will be issued to Cede & Co., as nominee of the Depository Trust Company (“DTC”) pursuant to a blanket letter of representations (the “DTC Agreement”) to be dated on or prior to the Closing Date (as defined herein), between the Company and DTC. The Indenture will be qualified under the Trust Indenture Act of 1939, as amended (the “Trust Ind
B. Riley Financial, Inc. and The Bank of New York Mellon Trust Company, N.A., as Trustee THIRD SUPPLEMENTAL INDENTURE Dated as of February 12, 2020 to the Indenture dated as of May 7, 2019 6.375% Senior Notes due 2025Third Supplemental Indenture • February 12th, 2020 • B. Riley Financial, Inc. • Services-business services, nec • New York
THIRD SUPPLEMENTAL INDENTURE (this “Third Supplemental Indenture”), dated as of February 12, 2020, between B. Riley Financial, Inc., a Delaware corporation (the “Company”), and The Bank of New York Mellon Trust Company, N.A., as trustee (the “Trustee”).
