SEC Form 4 · accession 0001140361-16-046948
LM FUNDING AMERICA, INC. · LMFA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Aaron Gordon
Officer — General Counsel & Secretary
Period of report
Jan 4, 2016
Accepted (ET)
Jan 6, 2016 · 6:07 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 | — | — | — | 200 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (right to buy)F1 | $12.50 | Jan 4, 2016 | A | 17,600 | A | — | Jan 4, 2026 | Common Stock | 17,600 | 17,600 | D |
| WarrantsF2 | $12.50 | holding | — | — | — | — | Oct 22, 2020 | Common Stock | 200 | 200 | 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.