SEC Form 4 · accession 0001668428-18-000070
FGL Holdings · FG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard N Massey
Director
Period of report
Apr 3, 2018
Accepted (ET)
Apr 5, 2018 · 4:42 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001668428
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Ordinary SharesF1 | Apr 3, 2018 | A | 12,488 | $0.00 | A | 12,488 | D | |
| Ordinary SharesF2 | holding | — | — | — | 1,806,373 | I | By CFC |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Private Placement WarrantsF2 | $11.50 | holding | — | — | — | Dec 30, 2017 | Nov 30, 2022 | Ordinary Shares | 333,333 | 333,333 | I |
Explanation of responses
- F1Represents a grant of restricted stock under the Issuer's 2017 Omnibus Incentive Plan, which is scheduled to vest on December 31, 2018 subject to the continuous existence of a service relationship through the vesting date.
- F2Represents Ordinary Shares and Private Placement Warrants held by CFC 2016-A, LLC ("CFC"), of which the Reporting Person is the managing member of CFC. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
Remarks
Exhibit List - Exhibit 24 Power of Attorney