SEC Form 4 · accession 0001213900-18-011714
Falcon Minerals Corp · FLMN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Jonathan Z Cohen
Officer — Chief Executive Officer · Director · 10% Owner
Osprey Sponsor, LLC
10% Owner
Period of report
Aug 23, 2018
Accepted (ET)
Aug 24, 2018 · 5:03 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001703785
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Aug 23, 2018 | P | 750,000 | $10.00 | A | 750,000 | I | By GRAT |
| Class A Common StockF1 | Aug 23, 2018 | C | 6,875,000 | — | A | 6,875,000 | I | See footnote |
| Class A Common Stock | holding | — | — | — | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Class B Common StockF1 | — | Aug 23, 2018 | C | 6,875,000 | D | — | — | Class A Common Stock | 6,875,000 | 0 | I |
Explanation of responses
- F1The shares of Class B Common Stock were held by Osprey Sponsor, LLC and automatically converted into shares of Class A Common Stock, par value $0.0001 per share, of the Issuer upon the closing of the Issuer's initial business combination on a one-for-one basis, and had no expiration date. Jonathan Z. Cohen, Chief Executive Officer and a director of the Issuer, is the sole manager of Osprey Sponsor, LLC and has sole voting and dispositive control over the shares held by Osprey Sponsor, LLC and may be deemed the beneficial owner of such shares. Mr. Cohen disclaims beneficial ownership over any securities owned by Osprey Sponsor, LLC in which he does not have any pecuniary interest.