SEC Form 4 · accession 0001209191-16-141906

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

Sep 15, 2016

Accepted (ET)

Sep 19, 2016 · 11:12 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	283	$8.01	A	4,900	I	By Bruce M. Rodgers IRA
Common Stock	Sep 16, 2016	P	100	$8.01	A	5,000	I	By Bruce M. Rodgers IRA
Common Stock^F1	holding	—	—		—	2,191,244	I	By CGR63, LLC
Common Stock^F2	holding	—	—		—	42,676	I	By BRR Holding, LLC
Common Stock	holding	—	—		—	1,000	I	BySpouce Carollinn Gould IRA

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Warrants^F3	$12.50	holding	—	—	—	—	Oct 31, 2020	Common Stock	3,900	3,900	I
Warrants^F1,F3	$12.50	holding	—	—	—	—	Oct 31, 2020	Common Stock	132,420	132,420	I
Warrants^F2,F3	$12.50	holding	—	—	—	—	Oct 31, 2020	Common Stock	1,500	1,500	I

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 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.
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 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.
F3Immediately Exercisable