SEC Form 4 · accession 0001668428-18-000114
FGL Holdings · FG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Quella
Director
Period of report
Oct 4, 2018
Accepted (ET)
Oct 9, 2018 · 4:17 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 | Oct 4, 2018 | A | 18,333 | — | A | 949,007 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Private Placement WarrantsF1 | $11.50 | Oct 4, 2018 | D | 166,667 | D | Dec 30, 2017 | Nov 30, 2022 | Ordinary Shares | 166,667 | 0 | D |
Explanation of responses
- F1Pursuant to the terms of the Issuer's tender offer, as described in the Issuer's Tender Offer Statement on Schedule TO, as amended, filed with the Securities and Exchange Commission on September 6, 2018, the Reporting Person tendered 166,667 warrants in exchange for 0.11 of the Issuer's ordinary shares and $0.98 in cash, without interest, per warrant.