Libman Brian L's Form 4 filing
Finance of America Companies Inc. (FOA) · filed Aug 18, 2021
- Accession no.
- 0000899243-21-033543
- Filed
- Aug 18, 2021
- Trade date
- Apr 1-Aug 17, 2021
- Filing delay
- 139 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 7 non-derivative transactions and 4 derivative transactions. Open-market purchases total $822.2K. It was filed 139 days after the trade, past the 2-business-day deadline.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Libman Brian LCIK 0001356440 | Director, 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Apr 1, 2021 | Class A Common Stock | AGrant or awardAcquired | +1,380,247 | $10.00 | +$13,802,470 | 1,380,247 | Indirect | |
| Aug 16, 2021 | Class A Common Stock | PPurchaseAcquired | +71,969 | $5.16F3 | +$371,360.04 | 71,969 | Indirect | |
| Aug 16, 2021 | Class A Common Stock | PPurchaseAcquired | +25,287 | $5.16F3 | +$130,480.92 | 25,287 | Direct | |
| Aug 17, 2021 | Class A Common Stock | PPurchaseAcquired | +45,241 | $5.24F5 | +$237,062.84 | 117,210 | Indirect | |
| Aug 17, 2021 | Class A Common Stock | PPurchaseAcquired | +15,896 | $5.24F5 | +$83,295.04 | 41,183 | Direct | |
| Apr 1, 2021 | Class B Common Stock | AGrant or awardAcquired | +1 | $0.00 | $0 | 1 | Indirect | |
| Apr 1, 2021 | Class B Common Stock | AGrant or awardAcquired | +1 | $0.00 | $0 | 1 | Indirect |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Apr 1, 2021 | Class A Common Stock | AGrant or awardAcquired | +73,033,375 | $0.00 | $0 | 73,033,375 | Indirect | |
| Apr 1, 2021 | Class A Common Stock | AGrant or awardAcquired | +1,941,876 | $0.00 | $0 | 1,941,876 | Indirect | |
| Apr 1, 2021 | Class A Common Stock | AGrant or awardAcquired | +8,564,208 | $0.00 | $0 | 8,564,208 | Indirect | |
| Apr 1, 2021 | Class A Common Stock | AGrant or awardAcquired | +227,712 | $0.00 | $0 | 227,712 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F3
The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $5.075 to $5.20, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth above.
Referenced by the price of 2 transactions in Table I.
- F5
The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $5.11 to $5.35, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth above.
Referenced by the price of 2 transactions in Table I.
Remarks
Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended, the Reporting Person states that this filing shall not be an admission that the Reporting Person is the beneficial owner of any of the securities reported herein as indirectly owned, and the Reporting Person disclaims beneficial ownership of such securities except to the extent of the Reporting Person's pecuniary interest therein.