Entry into a Material Definitive Agreement Great American Holdings, LLC Transaction On November 3, 2026, BRF Finance Co., LLC (“ Seller ”) and BR Financial Holdings, LLC (“ BR Holdings ” and together with Seller, the “ Seller Parties ”) entered into a Membership Interest Purchase Agreement, dated November 3, 2026 (the “ Purchase Agreement ”), by and among Seller, BR Holdings, OCM SSF III Great American PT, L.P., Opps XII Great American Holdings, LLC, VOF Great American Holdings, L.P., Opps XI…

Results of Operations and Financial Condition. On November 5, 2026 , BRC Group Holdings, Inc. (the “Company”) issued a press release reporting its financial results for the fiscal quarter ended September 30, 2026. A copy of the press release is attached hereto as Exhibit 99.1. The information set forth in this Current Report, including Exhibit 99.1 attached hereto, is being furnished and shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended…

Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant The information set forth in

Completion of Acquisition or Disposition of Assets The information contained in

CEO — Andy Moore: The filing describes a substitution of equity awards in connection with a merger, not a change in employment status or a departure.

shall not be deemed to be filed for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “ Exchange Act ”), or otherwise subject to the liabilities of that section, nor shall it be deemed incorporated by reference in any registration statement or other filing under the Securities Act of 1933, as amended, or the Exchange Act, except in the event that BRC expressly states that such information is to be considered filed under the Exchange Act or incorporates it by speci…

Entry into a Material Definitive Agreement Arrangement Agreement On September 28, 2026, BRC Group Holdings, Inc. (“ BRC ” or the “ Company ”), 1001755979 Ontario Inc. (the “ Purchaser ”), a wholly-owned subsidiary of BRC, and Sangoma Technologies Corporation (“ Sangoma ”) entered into a definitive agreement (the “ Arrangement Agreement ”) pursuant to which the Purchaser agreed to acquire all of the issued and outstanding common shares of Sangoma (the “ Sangoma Shares ”) by way of a court-appr…

Completion of Acquisition or Disposition of Assets The information contained in

Co-Chief Executive Officer — Bryant R. Riley: The filing discloses an amendment to an existing employment agreement regarding compensation and equity eligibility, not a change in personnel or departure.

Entry into a Material Definitive Agreement On August 7, 2026, BRC Group Holdings, Inc. (the “ Company ”) and its wholly owned subsidiary BR Financial Holdings, LLC (the “ Borrower ”) entered into Amendment No. 5 to Credit Agreement (the “ Credit Agreement Amendment ”) which amends that certain Credit Agreement, dated as of February 26, 2025, by and among the Company, Borrower, each of the lenders party thereto, and Oaktree Fund Administration, LLC, as administrative agent and as collateral ag…

Results of Operations and Financial Condition. On August 6, 2026, BRC Group Holdings, Inc. (the “Company”) issued a press release reporting its financial results for the fiscal quarter ended June 30, 2026. A copy of the press release is attached hereto as Exhibit 99.1. The information set forth in this Current Report, including Exhibit 99.1 attached hereto, is being furnished and shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Ex…

The filing pertains to a waiver in the Employment Agreement for Bryant Riley, allowing early release of holdback account funds due to performance.

or its Quarterly Report on Form 10-Q filed May 7, 2026, exceeds 5% of the Company’s total number of shares of common stock (“Common Stock”) outstanding as of May 5, 2026. On May 14, 2026 and June 4, 2026, the Company issued shares of Common Stock in privately negotiated transactions (together, the “ 3(a)(9) Exchanges ”) that were not registered under the Securities Act of 1933 (the “ Securities Act ”). On May 14, 2026, the Company agreed to issue 1,129,918 shares of Common Stock to DBA Tradin…

Results of Operations and Financial Condition. On May 7, 2026 , BRC Group Holdings, Inc. (the “Company”) issued a press release reporting its financial results for the fiscal quarter ended March 31, 2026. A copy of the press release is attached hereto as Exhibit 99.1. The information set forth in this Current Report, including Exhibit 99.1 attached hereto, is being furnished and shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exc…

Results of Operations and Financial Condition. On March 31, 2026 , BRC Group Holdings, Inc. (f/k/a B. Riley Financial, Inc.) (the “Company”) issued a press release reporting its financial results for the fiscal quarter and year ended December 31, 2025. A copy of the press release is attached hereto as Exhibit 99.1. The information set forth in this Current Report, including Exhibit 99.1 attached hereto, is being furnished and shall not be deemed “filed” for purposes of Section 18 of the Secur…

or its Quarterly Report on Form 10-Q filed January 14, 2026, exceeds 5% of the number of shares of common stock outstanding as of January 9, 2026. From February 6, 2026 through March 12, 2026, the Company issued or agreed to issue the securities described below in privately negotiated transactions (together, the “ 3(a)(9) Exchanges ”) that were not registered under the Securities Act of 1933 (the “ Securities Act ”). Such issuances are exempt from registration under Section 3(a)(9) of the Sec…

The filing details the compensation for a senior officer, not a management change.

Other Events. On March 6, 2026, in addition to the 3a9 Exchanges, the Company also repurchased 171,703 units of the Company’s 5.00% Senior Notes due 2026 (RILYG) for approximately $4.0 million in cash. The repurchased units were subsequently cancelled. On March 12, 2026, the Company issued a press release announcing that the Company had completed a series of Section 3(a)(9) exchanges, among other senior debt repurchases, to reduce the debt burden of the Company. The Company also announced its…

Termination of a Material Definitive Agreement. On February 25, 2026, the guaranty dated January 18, 2024 (the “ Axos Guaranty ”) by BRC Group Holdings, Inc. (f/k/a B. Riley Financial, Inc.) (the “ Company ”) in favor of Axos Bank, as administrative agent (the “ Agent ”), and the secured parties under that certain Credit Agreement, dated as of January 18, 2024 (as amended, the “ B&W Axos Credit Agreement ”), among Babcock & Wilcox Enterprises, Inc. (“ B&W ”), the guarantors party thereto, the…

Results of Operations and Financial Condition. On January 29, 2026, BRC Group Holdings, Inc. (f/k/a B. Riley Financial, Inc.) (the “Company”) issued a press release regarding certain unaudited preliminary estimated financial information for the three-month and twelve-month period ended December 31, 2025. A copy of the press release is attached hereto as Exhibit 99.1. The information set forth in this Current Report, including Exhibit 99.1 attached hereto, is being furnished and shall not be d…

Executive Vice President and General Counsel — Alan N. Forman: The severance amount for the Executive Vice President and General Counsel was reduced as part of corporate restructuring.

Entry into a Material Definitive Agreement Amendment to Credit Agreement On January 14, 2026, BRC Group Holdings, Inc. (the “ Company ”) and its wholly owned subsidiary BR Financial Holdings, LLC (the “ Borrower ”) entered into Amendment No. 4 (the “ Credit Agreement Amendment ”) to that certain Credit Agreement, dated as of February 26, 2025, by and among the Company, Borrower, each of the lenders party thereto, and Oaktree Fund Administration, LLC, as administrative agent and as collateral…

Results of Operations and Financial Condition. On January 14, 2026, BRC Group Holdings, Inc. (f/k/a B. Riley Financial, Inc.) (the “Company”) issued a press release reporting its financial results for the fiscal quarter ended September 30, 2025. A copy of the press release is attached hereto as Exhibit 99.1. The information set forth in this Current Report, including Exhibit 99.1 attached hereto, is being furnished and shall not be deemed “filed” for purposes of Section 18 of the Securities E…

Completion of Acquisition or Disposition of Assets Effective April 4, 2025, the Company completed the sale of its traditional (W-2) Wealth Management business (“Wealth W-2 Transaction”) to Stifel, Nicolaus & Company, Incorporated for net consideration of $26.0 million in cash, representing 36 financial advisors whose managed accounts represented approximately $4.0 billion in assets under management as of March 31, 2025, pursuant to a Purchase Agreement dated as of October 31, 2024 (the “Purch…

Results of Operations and Financial Condition. On December 15, 2025, B. Riley Financial, Inc. (the “Company”) issued a press release reporting its financial results for the fiscal quarter ended June 30, 2025. A copy of the press release is attached hereto as Exhibit 99.1. The information set forth in this Current Report, including Exhibit 99.1 attached hereto, is being furnished and shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the…