SEC Form 4 · accession 0001213900-18-012940
Falcon Minerals Corp · FLMN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey F Brotman
Officer — CFO, Chief Legal Officer & Sec
Period of report
Sep 17, 2018
Accepted (ET)
Sep 24, 2018 · 5:53 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 StockF1 | Sep 17, 2018 | J | 302,847 | — | A | 327,847 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrants to purchase common stock | $11.50 | Sep 17, 2018 | J | 94,356 | A | Sep 22, 2018 | Aug 23, 2023 | Class A common stock | 94,356 | 94,356 | D |
Explanation of responses
- F1Shares of Class A common stock and warrants distributed on a pro rata basis to the members of Osprey Sponsor, LLC, of which the reporting person is a non-managing member.