SEC Form 4 · accession 0001140361-15-038560

LM FUNDING AMERICA, INC. · LMFA

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chief Executive Officer · Director · 10% Owner

Period of report

Oct 22, 2015

Accepted (ET)

Oct 26, 2015 · 4:29 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001640384

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1,F2	Oct 22, 2015	P	132,420	$10.00	A	2,191,244	I	By CGR63, LLC
Common Stock^F1,F3	Oct 22, 2015	P	1,500	$10.00	A	42,676	I	By BRR Holding, LLC

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Warrants^F1,F2,F4	$12.50	Oct 22, 2015	P	132,420	A	—	Oct 22, 2020	Common Stock	132,420	132,420	I
Warrants^F1,F3,F4	$12.50	Oct 22, 2015	P	1,500	A	—	Oct 22, 2020	Common Stock	1,500	1,500	I

F1The reporting person purchased Units consisting of Common Stock and Warrants. The price of each such Unit was $10.00 as reported in Column 4 of Table 1 hereof
F2Bruce M. Rogers and Carollinn Gould, husband and wife, and their family, including trusts or custodial accounts of minor children of each of Mr. Rodgers and Ms. Gould, own 100% of the outstanding membership interests of CGR63, LLC. The reporting person disclaims beneficial ownership of these shares except to the extent of the reporting person's pecuniary interest in the shares.
F3Bruce M. Rogers and Carollinn Gould, husband and wife, and their family, including trusts or custodial accounts of minor children of each of Mr. Rodgers and Ms. Gould, own 100% of the outstanding membership interests of BRR Holding, LLC. The reporting person disclaims beneficial ownership of these shares except to the extent of the reporting person's pecuniary interest in the shares.
F4Immediately exercisable.