SEC Form 4 · accession 0001140361-15-045218
LM FUNDING AMERICA, INC. · LMFA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew L. Graham
Director
Period of report
Dec 17, 2015
Accepted (ET)
Dec 21, 2015 · 3:10 pm EST
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 | holding | — | — | — | 1,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantsF2 | $12.50 | Dec 17, 2015 | P | 3,000 | A | — | Oct 22, 2020 | Common Stock | 3,000 | 3,000 | I |
| Stock Options (right to buy)F1 | $10.00 | holding | — | — | — | — | Oct 22, 2025 | Common Stock | 5,000 | 5,000 | D |
| WarrantsF2 | $12.50 | holding | — | — | — | — | Oct 22, 2020 | Common Stock | 1,000 | 1,000 | D |
Explanation of responses
- F1Grant to reporting person of option to buy shares under the 2015 Omnibus Incentive Plan. One-third of the options become exercisable on the first, second, and third anniversary of the date of grant.
- F2Immediately exercisable.