SEC Form 4 · accession 0001668428-18-000102
FGL Holdings · FG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard N Massey
Director
Period of report
Sep 11, 2018
Accepted (ET)
Sep 14, 2018 · 4:19 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 | Sep 11, 2018 | P | 25,000 | $8.77 | A | 37,488 | D | |
| Ordinary SharesF2 | Sep 12, 2018 | P | 25,000 | $8.74 | A | 62,488 | D | |
| Ordinary SharesF3 | 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 WarrantsF3 | $11.50 | holding | — | — | — | Dec 30, 2017 | Nov 30, 2022 | Ordinary Shares | 333,333 | 333,333 | I |
Explanation of responses
- F1The transaction was executed in multiple trades at prices ranging from $8.71 to $8.82. The price represents the weighted average sales price of the shares. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the shares sold at each separate price.
- F2The transaction was executed in multiple trades at prices ranging from $8.72 to $8.79. The price represents the weighted average sales price of the shares. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the shares sold at each separate price.
- F3Represents 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.