Schwarzman Stephen A's Form 4 filing
OppFi Inc. (OPFI) · filed Oct 25, 2021
- Accession no.
- 0000899243-21-041469
- Filed
- Oct 25, 2021, 6:37 PM ET
- Trade date
- Oct 21-22, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 3 derivative transactions. Open-market sales total $323.3K. It was filed 4 days after the trade.
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 |
|---|---|
| Schwarzman Stephen ACIK 0001070844 | 10% Owner |
| Blackstone Inc.CIK 0001393818 | 10% Owner |
| Blackstone Group Management L.L.C.CIK 0001404071 | 10% Owner |
| Blackstone Holdings I L.P.CIK 0001464694 | 10% Owner |
| Blackstone Holdings I/II GP L.L.C.CIK 0001464695 | 10% Owner |
| Blackstone Alternative Solutions L.L.C.CIK 0001728531 | 10% Owner |
| Blackstone Aqua Master Sub-Fund, a sub-fund of Blackstone Global Master Fund ICAVCIK 0001876914 | 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 |
|---|---|---|---|---|---|---|---|---|
| Oct 21, 2021 | Class A Common Stock | SSaleAcquired | +6,900 | $7.14F1 | +$49,258.41 | 1,113,100 | Indirect | |
| Oct 21, 2021 | Class A Common Stock | SSaleAcquired | +31,366 | $7.04F5 | +$220,819.78 | 1,081,734 | Indirect | |
| Oct 21, 2021 | Class A Common Stock | SSaleAcquired | +7,600 | $7.00F6 | +$53,205.32 | 1,074,134 | 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 |
|---|---|---|---|---|---|---|---|---|
| Oct 21, 2021 | Class A Common Stock | SSaleDisposed | −4,496 | $1.51 | −$6,788.96 | 555,504 | Indirect | |
| Oct 21, 2021 | Class A Common Stock | SSaleDisposed | −61,223 | $1.38F8 | −$84,665.29 | 494,281 | Indirect | |
| Oct 22, 2021 | Class A Common Stock | SSaleDisposed | −494,281 | $1.18F9 | −$581,818.17 | 0 | 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.
- F1
The price reported in Column 4 is a weighted average price. These shares of Class A Common Stock of OppFi Inc. (the "Issuer") were sold in multiple transactions at prices ranging from $7.13 to $7.16, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1), (5) and (6) to this Form 4.
Referenced by the price of 1 transaction in Table I.
- F5
The price reported in Column 4 is a weighted average price. These shares of Class A Common Stock of the Issuer were sold in multiple transactions at prices ranging from $6.96 to $7.21, inclusive.
Referenced by the price of 1 transaction in Table I.
- F6
The price reported in Column 4 is a weighted average price. These shares of Class A Common Stock of the Issuer were sold in multiple transactions at prices ranging from $6.975 to $7.05, inclusive.
Referenced by the price of 1 transaction in Table I.
- F8
The price reported in Column 4 is a weighted average price. These warrants of the Issuer were sold in multiple transactions at prices ranging from $1.34 to $1.51, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of warrants sold at each separate price within the ranges set forth in footnotes (8) and (9) to this Form 4.
Referenced by the price of 1 transaction in Table II.
- F9
The price reported in Column 4 is a weighted average price. These warrants of the Issuer were sold in multiple transactions at prices ranging from $1.15 to $1.40, inclusive.
Referenced by the price of 1 transaction in Table II.