SEC Form 4 · accession 0001209191-16-139117
LM FUNDING AMERICA, INC. · LMFA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carollinn Gould
Officer — Vice President · Director · 10% Owner
Period of report
Aug 26, 2016
Accepted (ET)
Aug 30, 2016 · 3:46 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 | Aug 29, 2016 | P | 3,000 | $7.87 | A | 3,000 | I | By Spouse Bruce M. Rodgers IRA |
| Common Stock | holding | — | — | — | 2,191,244 | I | By CGR63, LLC | |
| Common StockF1 | holding | — | — | — | 42,676 | I | By BRR Holding, LLC |
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 | Aug 26, 2016 | P | 3,251 | A | — | Oct 31, 2020 | Common Stock | 3,251 | 3,251 | I |
| WarrantsF2 | $12.50 | Aug 29, 2016 | P | 649 | A | — | Oct 31, 2020 | Common Stock | 649 | 3,900 | I |
| WarrantsF4,F2,F3 | $12.50 | holding | — | — | — | — | Oct 31, 2020 | Common Stock | 132,420 | 132,420 | I |
| WarrantsF1,F2,F3 | $12.50 | holding | — | — | — | — | Oct 31, 2020 | Common Stock | 1,500 | 1,500 | I |
Explanation of responses
- F1Bruce 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.
- F2Immediately Exercisable
- F3On prior beneficial ownership filings the expiration date has been reported as 10/22/2020. The correct expiration date is 10/31/2020
- F4Bruce 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.