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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Class A Units | (3) | 07/20/2021 | D(4) | 194,707 | (3) | (3) | Class A Common Stock | 194,707 | $ 14.63 | 1,752,367 | I | By Briggs Capital Partners, LLC (5) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Briggs Chad D. C/O BRIDGE INVESTMENT GROUP HOLDINGS INC 111 EAST SEGO LILY DRIVE, SUITE 400 SALT LAKE CITY, UT 84070 |
See Remarks |
/s/ Matthew Grant, as attorney-in-fact | 07/21/2021 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Represents an award of restricted Class A Common Stock which will vest in three equal annual installments, with the first such annual installment vesting on July 20, 2024, subject to the Reporting Person's continued service with the Issuer through each vesting date. |
(2) | Reflects the cancellation for no consideration of Class B Common Stock in connection with the redemption and conversion of the Class A Units into shares of Class A Common Stock. |
(3) | The Class A Units may be redeemed by the Reporting Person at any time for shares of Class A Common Stock on a 1-to-1 basis. |
(4) | As described in the prospectus filed by the Issuer with the Securities and Exchange Commission, upon the closing of the offering, the Issuer redeemed the Class A Units from the Reporting Person. |
(5) | The Reporting Person is the manager of Briggs Capital Partners, LLC and may be deemed to be the beneficial owner o these securities. |
Remarks: Partner, Chief Financial Officer |