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MSPR

MSP Recovery, Inc.

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8775
SEC CIK
0001802450
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124

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
June 10, 2022 Filed Jun 14, 2022 16:23 UTC
Ruiz John HasanDirector · Chief Executive Officer · 10% owner
PurchaseWarrants (right to buy) · Derivative 5,000 $1.10 Strike: $0.00 $5,497.50
Disclosure

SEC source: 0000899243-22-022379 · doc4.xml · derivative · entry 1

Ruiz John Hasan · CIK 0001926798 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 680,000

Underlying: Class A Common Stock · 5,000 shares

Expires 2027-05-23

F1 · price: Warrants to buy shares of Class A common stock were purchased in multiple transactions at prices ranging from $1.08 to $1.1189, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder or the Securities and Exchange Commission upon request, full information regarding the number of warrants purchased at each separate price within the range.

Read SEC document
June 10, 2022 Filed Jul 14, 2022 20:30 UTC SaleWarrant (right to buy) · Derivative 61,646 $0.06 Strike: $11.50 $3,822.05
Disclosure

SEC source: 0001140361-22-026013 · form4.xml · derivative · entry 11

NOMURA SECURITIES INTERNATIONAL INC · CIK 0000902266 · 10% owner

NOMURA HOLDINGS INC · CIK 0001163653 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,325,000

Underlying: Class A Common Stock · 61,646 shares

Expires 2027-05-23

F1 · ownership.direct: These shares of Common Stock are owned by Nomura Securities International, Inc. ("NSI"). NSI is a wholly owned indirect subsidiary of Nomura Holdings, Inc. which accordingly may be deemed to beneficially own the shares owned by NSI.

Read SEC document
June 10, 2022 Filed Jul 14, 2022 20:30 UTC SaleWarrant (right to buy) · Derivative 39,906 $1.08 Strike: $0.00 $43,110.45
Disclosure

SEC source: 0001140361-22-026013 · form4.xml · derivative · entry 10

NOMURA SECURITIES INTERNATIONAL INC · CIK 0000902266 · 10% owner

NOMURA HOLDINGS INC · CIK 0001163653 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,937

Underlying: Class A Common Stock · 39,906 shares

Expires 2027-05-23

F8 · price: The price reported in Column 8 is a weighted average price. These warrants were sold in multiple transactions at prices ranging from $1.08 to $1.1, 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 range set forth herein.

F1 · ownership.direct: These shares of Common Stock are owned by Nomura Securities International, Inc. ("NSI"). NSI is a wholly owned indirect subsidiary of Nomura Holdings, Inc. which accordingly may be deemed to beneficially own the shares owned by NSI.

Read SEC document
June 10, 2022 Filed Jul 26, 2022 20:00 UTC Amendment SaleWarrant (right to buy) · Derivative 39,906 $1.08 Strike: $0.00 $43,110.45
Disclosure

SEC source: 0001140361-22-026968 · form4.xml · derivative · entry 9

NOMURA SECURITIES INTERNATIONAL INC · CIK 0000902266 · 10% owner

NOMURA HOLDINGS INC · CIK 0001163653 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,937

Underlying: Class A Common Stock · 39,906 shares

Expires 2027-05-23

F8 · price: The price reported in Column 8 is a weighted average price. These warrants were sold in multiple transactions at prices ranging from $1.08 to $1.1, 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 range set forth herein.

F10 · derivative.exercise_date: This Form 4 amendment is being filed to (1) correct the total number of shares of Class A Common Stock beneficially owned by the Reporting Persons following each transaction reported herein, by adding 164,999 shares that were inadvertently omitted from the original Form 4, and (2) correct the Date Exercisable for the reported Warrants with a $0.0001 strike price.

F1 · ownership.direct: These securities are owned by Nomura Securities International, Inc. ("NSI"). NSI is a wholly owned indirect subsidiary of Nomura Holdings, Inc. which accordingly may be deemed to beneficially own the shares owned by NSI.

Read SEC document
June 10, 2022 Filed Sep 7, 2022 20:26 UTC Amendment
Quesada Frank CarlosDirector · Chief Legal Officer · 10% owner
PurchaseWarrants (right to buy) · Derivative 10,000 $1.08 Strike: $0.00 $10,800.00
Disclosure

SEC source: 0001209191-22-049013 · doc4a.xml · derivative · entry 1

Quesada Frank Carlos · CIK 0001926804 · Director · Chief Legal Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 359,539

Underlying: Class A Common Stock · 10,000 shares

Expires 2027-05-23

Read SEC document
June 09, 2022 Filed Jun 9, 2022 19:00 UTC
Ruiz John HasanDirector · Chief Executive Officer · 10% owner
PurchaseWarrants (right to buy) · Derivative 10,000 $1.18 Strike: $0.00 $11,837.00
Disclosure

SEC source: 0000899243-22-021698 · doc4.xml · derivative · entry 4

Ruiz John Hasan · CIK 0001926798 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 675,000

Underlying: Class A Common Stock · 10,000 shares

Expires 2027-05-23

F3 · price: Warrants to buy shares of Class A common stock were purchased in multiple transactions at prices ranging from $1.16 to $1.20, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder or the Securities and Exchange Commission upon request, full information regarding the number of warrants purchased at each separate price within the range.

Read SEC document
June 09, 2022 Filed Jun 10, 2022 22:26 UTC
Quesada Frank CarlosDirector · Chief Legal Officer · 10% owner
PurchaseWarrants (right to buy) · Derivative 10,000 $1.20 Strike: $0.00 $12,000.00
Disclosure

SEC source: 0000899243-22-022000 · doc4.xml · derivative · entry 2

Quesada Frank Carlos · CIK 0001926804 · Director · Chief Legal Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 349,539

Underlying: Class A Common Stock · 10,000 shares

Expires 2027-05-23

Read SEC document
June 08, 2022 Filed Jun 9, 2022 19:00 UTC
Ruiz John HasanDirector · Chief Executive Officer · 10% owner
PurchaseWarrants (right to buy) · Derivative 40,000 $1.18 Strike: $0.00 $47,260.00
Disclosure

SEC source: 0000899243-22-021698 · doc4.xml · derivative · entry 3

Ruiz John Hasan · CIK 0001926798 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 665,000

Underlying: Class A Common Stock · 40,000 shares

Expires 2027-05-23

F2 · price: Warrants to buy shares of Class A common stock were purchased in multiple transactions at prices ranging from $1.10 to $1.20, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder or the Securities and Exchange Commission upon request, full information regarding the number of warrants purchased at each separate price within the range.

Read SEC document
June 08, 2022 Filed Jun 9, 2022 19:00 UTC
Ruiz John HasanDirector · Chief Executive Officer · 10% owner
PurchaseClass A Common Stock 15,000 $1.15 $17,250.00
Disclosure

SEC source: 0000899243-22-021698 · doc4.xml · nonDerivative · entry 1

Ruiz John Hasan · CIK 0001926798 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,534

Read SEC document
June 08, 2022 Filed Jun 10, 2022 22:26 UTC
Quesada Frank CarlosDirector · Chief Legal Officer · 10% owner
PurchaseWarrants (right to buy) · Derivative 30,000 $1.18 Strike: $0.00 $35,400.00
Disclosure

SEC source: 0000899243-22-022000 · doc4.xml · derivative · entry 1

Quesada Frank Carlos · CIK 0001926804 · Director · Chief Legal Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 339,539

Underlying: Class A Common Stock · 30,000 shares

Expires 2027-05-23

F1 · price: Warrants to buy shares of Class A common stock were purchased in multiple transactions at prices ranging from $1.16 to $1.20, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder or the Securities and Exchange Commission upon request, full information regarding the number of warrants purchased at each separate price within the range.

Read SEC document
June 08, 2022 Filed Jul 14, 2022 20:30 UTC SaleWarrant (right to buy) · Derivative 13,957 $1.17 Strike: $0.00 $16,357.60
Disclosure

SEC source: 0001140361-22-026013 · form4.xml · derivative · entry 9

NOMURA SECURITIES INTERNATIONAL INC · CIK 0000902266 · 10% owner

NOMURA HOLDINGS INC · CIK 0001163653 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,843

Underlying: Class A Common Stock · 13,957 shares

Expires 2027-05-23

F7 · price: The price reported in Column 8 is a weighted average price. These warrants were sold in multiple transactions at prices ranging from $1.17 to $1.19, 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 range set forth herein

F1 · ownership.direct: These shares of Common Stock are owned by Nomura Securities International, Inc. ("NSI"). NSI is a wholly owned indirect subsidiary of Nomura Holdings, Inc. which accordingly may be deemed to beneficially own the shares owned by NSI.

Read SEC document
June 08, 2022 Filed Jul 26, 2022 20:00 UTC Amendment SaleWarrant (right to buy) · Derivative 13,957 $1.17 Strike: $0.00 $16,357.60
Disclosure

SEC source: 0001140361-22-026968 · form4.xml · derivative · entry 8

NOMURA SECURITIES INTERNATIONAL INC · CIK 0000902266 · 10% owner

NOMURA HOLDINGS INC · CIK 0001163653 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,843

Underlying: Class A Common Stock · 13,957 shares

Expires 2027-05-23

F7 · price: The price reported in Column 8 is a weighted average price. These warrants were sold in multiple transactions at prices ranging from $1.17 to $1.19, 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 range set forth herein.

F10 · derivative.exercise_date: This Form 4 amendment is being filed to (1) correct the total number of shares of Class A Common Stock beneficially owned by the Reporting Persons following each transaction reported herein, by adding 164,999 shares that were inadvertently omitted from the original Form 4, and (2) correct the Date Exercisable for the reported Warrants with a $0.0001 strike price.

F1 · ownership.direct: These securities are owned by Nomura Securities International, Inc. ("NSI"). NSI is a wholly owned indirect subsidiary of Nomura Holdings, Inc. which accordingly may be deemed to beneficially own the shares owned by NSI.

Read SEC document
June 07, 2022 Filed Jun 8, 2022 20:37 UTC
Quesada Frank CarlosDirector · Chief Legal Officer · 10% owner
PurchaseWarrants (right to buy) · Derivative 59,539 $1.12 Strike: $0.00 $66,385.99
Disclosure

SEC source: 0000899243-22-021483 · doc4.xml · derivative · entry 3

Quesada Frank Carlos · CIK 0001926804 · Director · Chief Legal Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 309,539

Underlying: Class A Common Stock · 59,539 shares

Expires 2027-05-23

F3 · price: Warrants to buy shares of Class A common stock were purchased in multiple transactions at prices ranging from $1.11 to $1.13, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder or the Securities and Exchange Commission upon request, full information regarding the number of warrants purchased at each separate price within the range.

Read SEC document
June 07, 2022 Filed Jun 9, 2022 19:00 UTC
Ruiz John HasanDirector · Chief Executive Officer · 10% owner
PurchaseWarrants (right to buy) · Derivative 100,000 $1.11 Strike: $0.00 $110,690.00
Disclosure

SEC source: 0000899243-22-021698 · doc4.xml · derivative · entry 2

Ruiz John Hasan · CIK 0001926798 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 625,000

Underlying: Class A Common Stock · 100,000 shares

Expires 2027-05-23

F1 · price: Warrants to buy shares of Class A common stock were purchased in multiple transactions at prices ranging from $1.06 to $1.15, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder or the Securities and Exchange Commission upon request, full information regarding the number of warrants purchased at each separate price within the range.

Read SEC document
June 07, 2022 Filed Jun 9, 2022 23:35 UTC
Sternberg OphirDirector · 10% owner
OtherWarrant (right to buy) · Derivative 92,500 $0.00 Strike: $11.50 $0.00
Disclosure

SEC source: 0000899243-22-021702 · doc4.xml · derivative · entry 8

Sternberg Ophir · CIK 0001793414 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Lionheart Investments, LLC

Disclosed balance after: 0

Underlying: Class A Common Stock · 92,498 shares

Expires 2027-05-23

Read SEC document
June 07, 2022 Filed Jun 9, 2022 23:35 UTC
Sternberg OphirDirector · 10% owner
OtherWarrant (right to buy) · Derivative 121,250 $0.00 Strike: $11.50 $0.00
Disclosure

SEC source: 0000899243-22-021702 · doc4.xml · derivative · entry 7

Sternberg Ophir · CIK 0001793414 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Lionheart Equities LLC

Disclosed balance after: 0

Underlying: Class A Common Stock · 121,247 shares

Expires 2027-05-23

Read SEC document
June 07, 2022 Filed Jun 9, 2022 23:35 UTC
Sternberg OphirDirector · 10% owner
SaleClass A Common Stock 2 $2.98 $5.96
Disclosure

SEC source: 0000899243-22-021702 · doc4.xml · nonDerivative · entry 4

Sternberg Ophir · CIK 0001793414 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Lionheart Investments, LLC

Disclosed balance after: 832,498

F5 · kind: On June 7, 2022, the reporting person exercised warrants to purchase 92,500 shares of Issuer's common stock for $0.0001 a share. The reporting person paid the exercise price on a cashless basis, resulting in Issuer's withholding of 2 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 92,498 shares.

F4 · ownership.nature: The Class A Common Stock are owned directly by Lionheart Investments, LLC ("Investments), an entity which Mr. Sternberg owns and controls.

Read SEC document
June 07, 2022 Filed Jun 9, 2022 23:35 UTC
Sternberg OphirDirector · 10% owner
OtherClass A Common Stock 92,500 $0.00 $0.00
Disclosure

SEC source: 0000899243-22-021702 · doc4.xml · nonDerivative · entry 3

Sternberg Ophir · CIK 0001793414 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Lionheart Investments, LLC

Disclosed balance after: 832,500

F1 · price: On May 25, 2022, the issuer made a distribution of newly issued warrants on account of the outstanding shares of Class A Common Stock, resulting in a decrease of the exercise price of the warrants from $11.50 to $0.0001, the par value of the Class A Common Stock, per share pursuant to the terms of the Warrant Agreement governing such warrants.

F4 · ownership.nature: The Class A Common Stock are owned directly by Lionheart Investments, LLC ("Investments), an entity which Mr. Sternberg owns and controls.

Read SEC document
June 07, 2022 Filed Jun 9, 2022 23:35 UTC
Sternberg OphirDirector · 10% owner
SaleClass A Common Stock 3 $2.98 $8.94
Disclosure

SEC source: 0000899243-22-021702 · doc4.xml · nonDerivative · entry 2

Sternberg Ophir · CIK 0001793414 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Lionheart Equities, LLC

Disclosed balance after: 2,435,960

F3 · kind: On June 7, 2022, the reporting person exercised warrants to purchase 121,252 shares of Issuer's common stock for $0.0001 a share. The reporting person paid the exercise price on a cashless basis, resulting in Issuer's withholding of 3 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 121,247 shares.

F2 · ownership.nature: The Class A Common Stock are owned directly by Lionheart Equities, LLC ("Equities"), an entity which Mr. Sternberg owns and controls.

Read SEC document
June 07, 2022 Filed Jun 9, 2022 23:35 UTC
Sternberg OphirDirector · 10% owner
OtherClass A Common Stock 121,250 $0.00 $0.00
Disclosure

SEC source: 0000899243-22-021702 · doc4.xml · nonDerivative · entry 1

Sternberg Ophir · CIK 0001793414 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Lionheart Equities, LLC

Disclosed balance after: 2,435,063

F1 · price: On May 25, 2022, the issuer made a distribution of newly issued warrants on account of the outstanding shares of Class A Common Stock, resulting in a decrease of the exercise price of the warrants from $11.50 to $0.0001, the par value of the Class A Common Stock, per share pursuant to the terms of the Warrant Agreement governing such warrants.

F2 · ownership.nature: The Class A Common Stock are owned directly by Lionheart Equities, LLC ("Equities"), an entity which Mr. Sternberg owns and controls.

Read SEC document
June 07, 2022 Filed Jul 14, 2022 20:30 UTC SaleWarrant (right to buy) · Derivative 24,700 $1.13 Strike: $0.00 $27,938.17
Disclosure

SEC source: 0001140361-22-026013 · form4.xml · derivative · entry 8

NOMURA SECURITIES INTERNATIONAL INC · CIK 0000902266 · 10% owner

NOMURA HOLDINGS INC · CIK 0001163653 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,800

Underlying: Class A Common Stock · 24,700 shares

Expires 2027-05-23

F6 · price: The price reported in Column 8 is a weighted average price. These warrants were sold in multiple transactions at prices ranging from $1.13 to $1.14, 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 range set forth herein.

F1 · ownership.direct: These shares of Common Stock are owned by Nomura Securities International, Inc. ("NSI"). NSI is a wholly owned indirect subsidiary of Nomura Holdings, Inc. which accordingly may be deemed to beneficially own the shares owned by NSI.

Read SEC document
June 07, 2022 Filed Jul 26, 2022 20:00 UTC Amendment SaleWarrant (right to buy) · Derivative 24,700 $1.13 Strike: $0.00 $27,938.17
Disclosure

SEC source: 0001140361-22-026968 · form4.xml · derivative · entry 7

NOMURA SECURITIES INTERNATIONAL INC · CIK 0000902266 · 10% owner

NOMURA HOLDINGS INC · CIK 0001163653 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,800

Underlying: Class A Common Stock · 24,700 shares

Expires 2027-05-23

F6 · price: The price reported in Column 8 is a weighted average price. These warrants were sold in multiple transactions at prices ranging from $1.13 to $1.14, 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 range set forth herein.

F10 · derivative.exercise_date: This Form 4 amendment is being filed to (1) correct the total number of shares of Class A Common Stock beneficially owned by the Reporting Persons following each transaction reported herein, by adding 164,999 shares that were inadvertently omitted from the original Form 4, and (2) correct the Date Exercisable for the reported Warrants with a $0.0001 strike price.

F1 · ownership.direct: These securities are owned by Nomura Securities International, Inc. ("NSI"). NSI is a wholly owned indirect subsidiary of Nomura Holdings, Inc. which accordingly may be deemed to beneficially own the shares owned by NSI.

Read SEC document
June 06, 2022 Filed Jun 7, 2022 15:42 UTC
Ruiz John HasanDirector · Chief Executive Officer · 10% owner
PurchaseWarrants (right to buy) · Derivative 400,000 $1.06 Strike: $11.50 $425,960.00
Disclosure

SEC source: 0000899243-22-021329 · doc4.xml · derivative · entry 2

Ruiz John Hasan · CIK 0001926798 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 525,000

Underlying: Class A Common Stock · 400,000 shares

Expires 2027-05-23

F2 · price: Warrants to buy shares of Class A common stock were purchased in multiple transactions at prices ranging from $.9701 to $1.20 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder or the Securities and Exchange Commission upon request, full information regarding the number of warrants purchased at each separate price within the range.

Read SEC document
June 06, 2022 Filed Jun 8, 2022 16:49 UTC PurchaseClass A Common Stock 10,280 $0.97 $9,957.21
Disclosure

SEC source: 0000899243-22-021506 · doc4.xml · nonDerivative · entry 1

Plasencia Alexandra Marie · CIK 0001926631 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Indirect · Husband

Disclosed balance after: 10,280

Read SEC document
June 06, 2022 Filed Jun 8, 2022 20:37 UTC
Quesada Frank CarlosDirector · Chief Legal Officer · 10% owner
PurchaseWarrants (right to buy) · Derivative 250,000 $1.04 Strike: $0.00 $260,000.00
Disclosure

SEC source: 0000899243-22-021483 · doc4.xml · derivative · entry 2

Quesada Frank Carlos · CIK 0001926804 · Director · Chief Legal Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Class A Common Stock · 250,000 shares

Expires 2027-05-23

F2 · price: Warrants to buy shares of Class A common stock were purchased in multiple transactions at prices ranging from $0.9979 to $1.1135 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder or the Securities and Exchange Commission upon request, full information regarding the number of warrants purchased at each separate price within the range.

Read SEC document
June 06, 2022 Filed Jun 8, 2022 20:37 UTC
Quesada Frank CarlosDirector · Chief Legal Officer · 10% owner
PurchaseClass A Common Stock 58,909 $1.02 $60,087.18
Disclosure

SEC source: 0000899243-22-021483 · doc4.xml · nonDerivative · entry 1

Quesada Frank Carlos · CIK 0001926804 · Director · Chief Legal Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,909

F1 · price: Shares of Class A common stock were purchased in multiple transactions at prices ranging from $0.9903 to $1.05, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder or the Securities and Exchange Commission upon request, full information regarding the number of shares purchased at each separate price within the range.

Read SEC document
June 06, 2022 Filed Jul 14, 2022 20:30 UTC SaleWarrant (right to buy) · Derivative 14 $0.08 Strike: $11.50 $1.05
Disclosure

SEC source: 0001140361-22-026013 · form4.xml · derivative · entry 7

NOMURA SECURITIES INTERNATIONAL INC · CIK 0000902266 · 10% owner

NOMURA HOLDINGS INC · CIK 0001163653 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,386,646

Underlying: Class A Common Stock · 14 shares

Expires 2027-05-23

F1 · ownership.direct: These shares of Common Stock are owned by Nomura Securities International, Inc. ("NSI"). NSI is a wholly owned indirect subsidiary of Nomura Holdings, Inc. which accordingly may be deemed to beneficially own the shares owned by NSI.

Read SEC document
June 03, 2022 Filed Jun 7, 2022 15:42 UTC
Ruiz John HasanDirector · Chief Executive Officer · 10% owner
PurchaseWarrants (right to buy) · Derivative 75,000 $1.05 Strike: $11.50 $79,035.00
Disclosure

SEC source: 0000899243-22-021329 · doc4.xml · derivative · entry 1

Ruiz John Hasan · CIK 0001926798 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Class A Common Stock · 75,000 shares

Expires 2027-05-23

F1 · price: Warrants to buy shares of Class A common stock were purchased in multiple transactions at prices ranging from $1.04 to $1.09 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder or the Securities and Exchange Commission upon request, full information regarding the number of warrants purchased at each separate price within the range.

Read SEC document
June 03, 2022 Filed Jun 8, 2022 14:51 UTC PurchaseClass A Common Stock 6,355.091 $1.07 $6,799.95
Disclosure

SEC source: 0000899243-22-021466 · doc4.xml · nonDerivative · entry 1

Arrigo Michael Frederick · CIK 0001928569 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,355.091

F1 · price: Shares of Class A common stock were purchased in multiple transactions at prices ranging from $1.067 to $1.08 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder or the Securities and Exchange Commission upon request, full information regarding the number of warrants purchased at each separate price within the range.

Read SEC document
June 02, 2022 Filed Jul 14, 2022 20:30 UTC SaleWarrant (right to buy) · Derivative 25,000 $1.10 Strike: $0.00 $27,500.00
Disclosure

SEC source: 0001140361-22-026013 · form4.xml · derivative · entry 6

NOMURA SECURITIES INTERNATIONAL INC · CIK 0000902266 · 10% owner

NOMURA HOLDINGS INC · CIK 0001163653 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 177,500

Underlying: Class A Common Stock · 25,000 shares

Expires 2027-05-23

F5 · price: The price reported in Column 8 is a weighted average price. These warrants were sold in multiple transactions at prices ranging from $1.1 to $1.11, 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 range set forth herein.

F1 · ownership.direct: These shares of Common Stock are owned by Nomura Securities International, Inc. ("NSI"). NSI is a wholly owned indirect subsidiary of Nomura Holdings, Inc. which accordingly may be deemed to beneficially own the shares owned by NSI.

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June 02, 2022 Filed Jul 14, 2022 20:30 UTC SaleClass A Common Stock 1,370 $1.28 $1,753.60
Disclosure

SEC source: 0001140361-22-026013 · form4.xml · nonDerivative · entry 1

NOMURA SECURITIES INTERNATIONAL INC · CIK 0000902266 · 10% owner

NOMURA HOLDINGS INC · CIK 0001163653 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,500

F1 · ownership.direct: These shares of Common Stock are owned by Nomura Securities International, Inc. ("NSI"). NSI is a wholly owned indirect subsidiary of Nomura Holdings, Inc. which accordingly may be deemed to beneficially own the shares owned by NSI.

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June 02, 2022 Filed Jul 26, 2022 20:00 UTC Amendment SaleWarrant (right to buy) · Derivative 25,000 $1.10 Strike: $0.00 $27,500.00
Disclosure

SEC source: 0001140361-22-026968 · form4.xml · derivative · entry 6

NOMURA SECURITIES INTERNATIONAL INC · CIK 0000902266 · 10% owner

NOMURA HOLDINGS INC · CIK 0001163653 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 177,500

Underlying: Class A Common Stock · 25,000 shares

Expires 2027-05-23

F5 · price: The price reported in Column 8 is a weighted average price. These warrants were sold in multiple transactions at prices ranging from $1.1 to $1.11, 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 range set forth herein.

F10 · derivative.exercise_date: This Form 4 amendment is being filed to (1) correct the total number of shares of Class A Common Stock beneficially owned by the Reporting Persons following each transaction reported herein, by adding 164,999 shares that were inadvertently omitted from the original Form 4, and (2) correct the Date Exercisable for the reported Warrants with a $0.0001 strike price.

F1 · ownership.direct: These securities are owned by Nomura Securities International, Inc. ("NSI"). NSI is a wholly owned indirect subsidiary of Nomura Holdings, Inc. which accordingly may be deemed to beneficially own the shares owned by NSI.

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June 02, 2022 Filed Jul 26, 2022 20:00 UTC Amendment SaleClass A Common Stock 1,370 $1.28 $1,753.60
Disclosure

SEC source: 0001140361-22-026968 · form4.xml · nonDerivative · entry 1

NOMURA SECURITIES INTERNATIONAL INC · CIK 0000902266 · 10% owner

NOMURA HOLDINGS INC · CIK 0001163653 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 302,499

F10 · balance_after: This Form 4 amendment is being filed to (1) correct the total number of shares of Class A Common Stock beneficially owned by the Reporting Persons following each transaction reported herein, by adding 164,999 shares that were inadvertently omitted from the original Form 4, and (2) correct the Date Exercisable for the reported Warrants with a $0.0001 strike price.

F1 · ownership.direct: These securities are owned by Nomura Securities International, Inc. ("NSI"). NSI is a wholly owned indirect subsidiary of Nomura Holdings, Inc. which accordingly may be deemed to beneficially own the shares owned by NSI.

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June 01, 2022 Filed Jul 14, 2022 20:30 UTC SaleWarrant (right to buy) · Derivative 75,000 $0.91 Strike: $0.00 $68,062.50
Disclosure

SEC source: 0001140361-22-026013 · form4.xml · derivative · entry 5

NOMURA SECURITIES INTERNATIONAL INC · CIK 0000902266 · 10% owner

NOMURA HOLDINGS INC · CIK 0001163653 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 202,500

Underlying: Class A Common Stock · 75,000 shares

Expires 2027-05-23

F4 · price: The price reported in Column 8 is a weighted average price. These warrants were sold in multiple transactions at prices ranging from $0.85 to $1.02, 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 range set forth herein.

F3 · derivative.expiration_date: Unless earlier redeemed by the Issuer.

F1 · ownership.direct: These shares of Common Stock are owned by Nomura Securities International, Inc. ("NSI"). NSI is a wholly owned indirect subsidiary of Nomura Holdings, Inc. which accordingly may be deemed to beneficially own the shares owned by NSI.

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June 01, 2022 Filed Jul 26, 2022 20:00 UTC Amendment SaleWarrant (right to buy) · Derivative 75,000 $0.91 Strike: $0.00 $68,062.50
Disclosure

SEC source: 0001140361-22-026968 · form4.xml · derivative · entry 5

NOMURA SECURITIES INTERNATIONAL INC · CIK 0000902266 · 10% owner

NOMURA HOLDINGS INC · CIK 0001163653 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 202,500

Underlying: Class A Common Stock · 75,000 shares

Expires 2027-05-23

F4 · price: The price reported in Column 8 is a weighted average price. These warrants were sold in multiple transactions at prices ranging from $0.85 to $1.02, 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 range set forth herein.

F10 · derivative.exercise_date: This Form 4 amendment is being filed to (1) correct the total number of shares of Class A Common Stock beneficially owned by the Reporting Persons following each transaction reported herein, by adding 164,999 shares that were inadvertently omitted from the original Form 4, and (2) correct the Date Exercisable for the reported Warrants with a $0.0001 strike price.

F3 · derivative.expiration_date: Unless earlier redeemed by the Issuer.

F1 · ownership.direct: These securities are owned by Nomura Securities International, Inc. ("NSI"). NSI is a wholly owned indirect subsidiary of Nomura Holdings, Inc. which accordingly may be deemed to beneficially own the shares owned by NSI.

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May 31, 2022 Filed Jun 2, 2022 18:51 UTC
Ruiz John HasanDirector · Chief Executive Officer · 10% owner
PurchaseWarrants (right to buy) · Derivative 50,000 $0.90 Strike: $11.50 $44,790.00
Disclosure

SEC source: 0000899243-22-020759 · doc4.xml · derivative · entry 2

Ruiz John Hasan · CIK 0001926798 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Class A Common Stock · 50,000 shares

Expires 2027-05-23

F2 · price: Warrants to buy shares of Class A common stock were purchased in multiple transactions at prices ranging from $0.87 to $0.90, inclusive. The Reporting Person undertakes to provide to the Issuer, any securityholder or the Securities and Exchange Commission upon request, full information regarding the number of warrants purchased at each separate price within the range.

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May 31, 2022 Filed Jun 2, 2022 18:51 UTC
Ruiz John HasanDirector · Chief Executive Officer · 10% owner
PurchaseClass A Common Stock 50,534 $1.35 $68,382.61
Disclosure

SEC source: 0000899243-22-020759 · doc4.xml · nonDerivative · entry 1

Ruiz John Hasan · CIK 0001926798 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,534

F1 · price: Shares of Class A common stock were purchased in multiple transactions at prices ranging from $1.27 to $1.45, inclusive. The Reporting Person undertakes to provide to the Issuer, any securityholder or the Securities and Exchange Commission upon request, full information regarding the number of shares purchased at each separate price within the range.

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May 27, 2022 Filed Jun 1, 2022 17:36 UTC GrantWarrants · Derivative 1,180,000 $0.00 Strike: $11.50 $0.00
Disclosure

SEC source: 0000899243-22-020493 · doc4.xml · derivative · entry 1

HAWKINS THOMAS W · CIK 0001015731 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,180,000

Underlying: Class A Common Stock · 1,180,000 shares

Expires 2027-05-23

Read SEC document
May 27, 2022 Filed Jun 1, 2022 21:49 UTC GrantWarrants · Derivative 1,180,000 $0.00 Strike: $11.50 $0.00
Disclosure

SEC source: 0000899243-22-020514 · doc4.xml · derivative · entry 1

MELTZER ROGER · CIK 0001259072 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,180,000

Underlying: Class A Common Stock · 1,180,000 shares

Expires 2027-05-23

Read SEC document
May 27, 2022 Filed Jun 1, 2022 22:18 UTC
Sternberg OphirDirector · 10% owner
GrantWarrants · Derivative 118,000,000 $0.00 Strike: $11.50 $0.00
Disclosure

SEC source: 0000899243-22-020526 · doc4.xml · derivative · entry 4

Sternberg Ophir · CIK 0001793414 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · 2022 OS Irrevocable Trust

Disclosed balance after: 118,000,000

Underlying: Class A Common Stock · 118,000,000 shares

Expires 2027-05-23

F4 · ownership.nature: These warrants to purchase shares of Class A Common Stock were received in connection with the closing of the business combination of the issuer and are owned directly by 2022 OS Irrevocable Trust, over which Mr. Sternberg's spouse has sole investment and dispository power over the Trust as its trustee.

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May 27, 2022 Filed Jun 1, 2022 22:18 UTC
Sternberg OphirDirector · 10% owner
GrantWarrants · Derivative 118,000,000 $0.00 Strike: $11.50 $0.00
Disclosure

SEC source: 0000899243-22-020526 · doc4.xml · derivative · entry 3

Sternberg Ophir · CIK 0001793414 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Star Mountain Equities, LLC

Disclosed balance after: 118,000,000

Underlying: Class A Common Stock · 118,000,000 shares

Expires 2027-05-23

F3 · ownership.nature: These warrants to purchase shares of Class A Common Stock were received in connection with the closing of the business combination of the issuer and are owned directly by Star Mountain Equities, LLC, an entity which Mr. Sternberg owns and controls.

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May 27, 2022 Filed Jun 1, 2022 22:18 UTC
Sternberg OphirDirector · 10% owner
GrantWarrants · Derivative 87,320,000 $0.00 Strike: $11.50 $0.00
Disclosure

SEC source: 0000899243-22-020526 · doc4.xml · derivative · entry 2

Sternberg Ophir · CIK 0001793414 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Lionheart Investments, LLC

Disclosed balance after: 87,320,000

Underlying: Class A Common Stock · 87,320,000 shares

Expires 2027-05-23

F2 · ownership.nature: These warrants to purchase shares of Class A Common Stock were received in connection with the closing of the business combination of the issuer and are owned directly by Lionheart Investments, LLC, an entity which Mr. Sternberg owns and controls.

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May 27, 2022 Filed Jun 1, 2022 22:18 UTC
Sternberg OphirDirector · 10% owner
GrantWarrants · Derivative 273,029,934 $0.00 Strike: $11.50 $0.00
Disclosure

SEC source: 0000899243-22-020526 · doc4.xml · derivative · entry 1

Sternberg Ophir · CIK 0001793414 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Lionheart Equities, LLC

Disclosed balance after: 273,029,934

Underlying: Class A Common Stock · 273,029,934 shares

Expires 2027-05-23

F1 · ownership.nature: These warrants to purchase shares of Class A Common Stock were received in connection with the closing of the business combination of the issuer and are owned directly by Lionheart Equities, LLC, an entity which Mr. Sternberg owns and controls.

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May 23, 2022 Filed May 25, 2022 20:30 UTC GrantCommon Stock 10,000 $0.00 $0.00
Disclosure

SEC source: 0000899243-22-019548 · doc4.xml · nonDerivative · entry 1

HAWKINS THOMAS W · CIK 0001015731 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Read SEC document
May 23, 2022 Filed May 25, 2022 23:39 UTC GrantClass A Common Stock 10,000 $0.00 $0.00
Disclosure

SEC source: 0000899243-22-019532 · doc4.xml · nonDerivative · entry 1

MELTZER ROGER · CIK 0001259072 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Read SEC document
May 23, 2022 Filed May 26, 2022 01:45 UTC
Sternberg OphirDirector · 10% owner
GrantWarrants · Derivative 92,500 $0.00 Strike: $11.50 $0.00
Disclosure

SEC source: 0000899243-22-019593 · doc4.xml · derivative · entry 12

Sternberg Ophir · CIK 0001793414 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Lionheart Investments, LLC

Disclosed balance after: 92,500

Underlying: Class A Common Stock · 92,500 shares

Expires 2027-05-23

F4 · ownership.nature: These Class A shares are owned directly by Lionheart Investments, LLC ("Investments"), an entity which Mr. Sternberg owns and controls.

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May 23, 2022 Filed May 26, 2022 01:45 UTC
Sternberg OphirDirector · 10% owner
OtherWarrants · Derivative 8,750 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000899243-22-019593 · doc4.xml · derivative · entry 11

Sternberg Ophir · CIK 0001793414 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Lionheart Equities, LLC

Disclosed balance after: 121,250

Underlying: Class A Common Stock · 8,750 shares

Expires not disclosed

F9 · shares: The warrants were transferred to certain affiliates of Sponsor in connection with the closing of the Business Combination for no consideration.

F9 · derivative.exercise_date: The warrants were transferred to certain affiliates of Sponsor in connection with the closing of the Business Combination for no consideration.

F9 · derivative.expiration_date: The warrants were transferred to certain affiliates of Sponsor in connection with the closing of the Business Combination for no consideration.

F2 · ownership.nature: These shares of Class A Common Stock ("Class A Shares") are owned directly by Sponsor, an entity which Mr. Sternberg owns and controls.

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May 23, 2022 Filed May 26, 2022 01:45 UTC
Sternberg OphirDirector · 10% owner
GrantWarrants · Derivative 130,000 $0.00 Strike: $11.50 $0.00
Disclosure

SEC source: 0000899243-22-019593 · doc4.xml · derivative · entry 10

Sternberg Ophir · CIK 0001793414 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Lionheart Equities, LLC

Disclosed balance after: 130,000

Underlying: Class A Common Stock · 130,000 shares

Expires 2027-05-23

F2 · ownership.nature: These shares of Class A Common Stock ("Class A Shares") are owned directly by Sponsor, an entity which Mr. Sternberg owns and controls.

Read SEC document
May 23, 2022 Filed May 26, 2022 01:45 UTC
Sternberg OphirDirector · 10% owner
Exercise / conversionClass A Units · Derivative 185,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000899243-22-019593 · doc4.xml · derivative · entry 9

Sternberg Ophir · CIK 0001793414 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Lionheart Investments, LLC

Disclosed balance after: 0

Underlying: Class A Common Stock · 185,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F8 · derivative.exercise_price: Each of these Class A Units were converted into (i) one Class A Share of Issuer and (ii) one-half of one Warrant to purchase a Class A Share of Issuer at an exercise price of $11.50 per share upon the completion of the combination transaction.

F1 · shares: These shares were previously inadvertently aggregated into the shares owned by Lionheart Equities, LLC ("Sponsor").

F8 · derivative.exercise_date: Each of these Class A Units were converted into (i) one Class A Share of Issuer and (ii) one-half of one Warrant to purchase a Class A Share of Issuer at an exercise price of $11.50 per share upon the completion of the combination transaction.

F8 · derivative.expiration_date: Each of these Class A Units were converted into (i) one Class A Share of Issuer and (ii) one-half of one Warrant to purchase a Class A Share of Issuer at an exercise price of $11.50 per share upon the completion of the combination transaction.

F2 · ownership.nature: These shares of Class A Common Stock ("Class A Shares") are owned directly by Sponsor, an entity which Mr. Sternberg owns and controls.

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May 23, 2022 Filed May 26, 2022 01:45 UTC
Sternberg OphirDirector · 10% owner
Exercise / conversionClass A Units · Derivative 260,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000899243-22-019593 · doc4.xml · derivative · entry 8

Sternberg Ophir · CIK 0001793414 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Lionheart Equities LLC

Disclosed balance after: 0

Underlying: Class A Common Stock · 260,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F8 · derivative.exercise_price: Each of these Class A Units were converted into (i) one Class A Share of Issuer and (ii) one-half of one Warrant to purchase a Class A Share of Issuer at an exercise price of $11.50 per share upon the completion of the combination transaction.

F8 · derivative.exercise_date: Each of these Class A Units were converted into (i) one Class A Share of Issuer and (ii) one-half of one Warrant to purchase a Class A Share of Issuer at an exercise price of $11.50 per share upon the completion of the combination transaction.

F8 · derivative.expiration_date: Each of these Class A Units were converted into (i) one Class A Share of Issuer and (ii) one-half of one Warrant to purchase a Class A Share of Issuer at an exercise price of $11.50 per share upon the completion of the combination transaction.

F2 · ownership.nature: These shares of Class A Common Stock ("Class A Shares") are owned directly by Sponsor, an entity which Mr. Sternberg owns and controls.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.