Sundheim Daniel S.'s Form 4 filing
Finance of America Companies Inc. (FOA) · filed Oct 8, 2021
- Accession no.
- 0000950142-21-003107
- Filed
- Oct 8, 2021, 5:16 PM ET
- Trade date
- Apr 1-Jun 17, 2021
- Filing delay
- 190 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 7 non-derivative transactions and 6 derivative transactions. Open-market sales total $10.4M. It was filed 190 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 |
|---|---|
| Sundheim Daniel S.CIK 0001621588 | 10% Owner |
| D1 Capital Partners L.P.CIK 0001747057 | 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 | SSaleDisposed | −625,000 | $10.20 | −$6,376,562.5 | 6,875,000 | Indirect | |
| May 10, 2021 | Class A Common Stock | SSaleDisposed | −14,551 | $10.85 | −$157,847.79 | 6,860,449 | Indirect | |
| May 10, 2021 | Class A Common Stock | SSaleDisposed | −5,000 | $10.63 | −$53,150 | 6,855,449 | Indirect | |
| May 19, 2021 | Class A Common Stock | SSaleDisposed | −55,449 | $10.50 | −$582,258.86 | 6,800,000 | Indirect | |
| May 20, 2021 | Class A Common Stock | SSaleDisposed | −141,596 | $10.50 | −$1,486,758 | 6,658,404 | Indirect | |
| May 21, 2021 | Class A Common Stock | SSaleDisposed | −158,404 | $10.50 | −$1,663,242 | 6,500,000 | Indirect | |
| Jun 1, 2021 | Class A Common Stock | SSaleDisposed | −5,799 | $10.50 | −$60,889.5 | 6,494,201 | 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 |
|---|---|---|---|---|---|---|---|---|
| May 10, 2021 | Class A Common Stock | SSaleDisposed | −600,000 | $1.54 | −$924,000 | 650,000 | Indirect | |
| May 10, 2021 | Class A Common Stock | SSaleDisposed | −13,025 | $1.56 | −$20,335.93 | 636,975 | Indirect | |
| May 19, 2021 | Class A Common Stock | SSaleDisposed | −36,975 | $1.50 | −$55,462.5 | 600,000 | Indirect | |
| May 20, 2021 | Class A Common Stock | SSaleDisposed | −103,774 | $1.50 | −$155,661 | 496,226 | Indirect | |
| Jun 15, 2021 | Class A Common Stock | SSaleDisposed | −6,226 | $1.55 | −$9,650.3 | 490,000 | Indirect | |
| Jun 17, 2021 | Class A Common Stock | SSaleDisposed | −4,351 | $1.55 | −$6,744.05 | 485,649 | 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.
No transaction price on this filing refers to a footnote.