SEC Form 4 · accession 0001209191-16-141902
LM FUNDING AMERICA, INC. · LMFA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
C. Birge Sigety
Director
Period of report
Sep 15, 2016
Accepted (ET)
Sep 19, 2016 · 10:52 am 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 | Sep 15, 2016 | P | 800 | $8.09 | A | 10,800 | I | By Trust |
| Common Stock | holding | — | — | — | 10,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantsF1,F2 | $12.50 | Sep 15, 2016 | P | 800 | A | — | Oct 31, 2020 | Common Stock | 800 | 10,800 | I |
| WarrantsF1,F2 | $12.50 | holding | — | — | — | — | Oct 31, 2020 | Common Stock | 10,000 | 10,000 | D |
| Stock Options (right to buy)F3 | $10.00 | holding | — | — | — | — | Oct 22, 2025 | Common Stock | 5,000 | 5,000 | D |
Explanation of responses
- F1Immediately Exercisable
- F2On prior beneficial ownership filings the expiration date has been reported as 10/22/2020. The correct expiration date is 10/31/2020
- F3Grant 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.