Item 5.07. Submission of Matters to a Vote of Security Holders.
The 2021 annual meeting of stockholders (the "Annual Meeting") ofB. Riley Financial, Inc. (the "Company") was held onMay 27, 2021 . 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: Broker Nominee for Director Votes For Votes Against Abstentions Non-Votes (01) Bryant R. Riley 18,697,053 93,285 5,574 3,252,355 (02) Robert D'Agostino 15,965,391 2,799,060 31,460 3,252,356 (03) Robert L. Antin 14,611,566 4,152,985 31,360 3,252,356 (04) Thomas J. Kelleher 18,741,235 31,227 23,449 3,252,356 (05) Randall E. Paulson 18,751,195 13,356 31,360 3,252,356 (06) Michael J. Sheldon 18,659,949 104,567 31,395 3,252,356 (07) Mimi K. Walters 18,496,894 267,539 31,477 3,252,357 (08) Mikel H. Williams 13,793,172 4,972,483 30,256 3,252,356
2. Ratification of the selection of
accounting firm for the fiscal year endingDecember 31, 2021 : Votes For Votes Against Abstentions 21,972,532 48,850 26,885
3. Approval of
Votes For Votes Against Abstentions 14,005,879 4,736,021 54,008 Item 8.01 Other Events.
Approval of Award Agreement under the
OnMay 28, 2021 , the Compensation Committee of the Board of Directors (the "Committee") of the Company has approved a form of time-vesting restricted stock unit ("RSU") award agreement (the "RSU Award Agreement") that sets forth the terms of RSU awards that may be granted to certain employees and executive officers of the Company under theB. Riley Financial, Inc. 2021 Stock Incentive Plan (the "2021 Plan"), subject to the terms of the 2021 Plan.
The foregoing description of the RSU Award Agreement does not purport to be complete and is subject to, and qualified in its entirety by, the full text of the form of RSU Award Agreement that is attached hereto as Exhibit 10.1 and incorporated herein by reference.
Item 9.01 Financial Statement and Exhibits.
(d) Exhibits:
Exhibit Description 10.01 Form of Restricted Stock Unit Award Agreement (Time-Vesting) under the B.
Riley Financial, Inc. 2021 Stock Incentive Plan. 1
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