SEC Form 4 · accession 0001615774-18-014673

CF Finance Acquisition Corp. · CFFA

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Table I — non-derivative securities

Table II — derivative securities

Explanation of responses

• F1These shares are underlying units (each unit consisting of one share of Class A common stock and three-quarters of one warrant, each whole warrant exercisable to purchase one share of Class A common stock) held by CF Finance Holdings LLC (the "Sponsor"), acquired pursuant to a private placement units purchase agreement by and between the Sponsor and the issuer. Does not include 7,187,500 shares of Class B common stock previously reported on a Form 3, which shares will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights. Also excludes shares to be purchased pursuant to that certain forward purchase contract between the issuer and the Sponsor.
• F2The Sponsor is the record holder of the securities reported herein. Cantor Fitzgerald, L.P. ("Cantor") is the sole member of the Sponsor. CF Group Management, Inc. is the managing general partner of Cantor. Mr. Lutnick, the issuer's Chairman and Chief Executive Officer, is the President of CF Group Management, Inc. ("CFGM") and trustee of CFGM's sole stockholder. As such, each of Cantor, CFGM and Mr. Lutnick may be deemed to have beneficial ownership of the securities directly held by the Sponsor. Each such entity or person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest they may have therein, directly or indirectly.