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Nasdaq · USD

SHFS

SHF Holdings, Inc.

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8514
SEC CIK
0001854963
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81

Last 12 months

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Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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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
December 05, 2023 Filed Dec 7, 2023 17:11 UTC
Seefried SundieChief Executive Officer
PurchaseClass A Common Stock 20,000 $0.88 $17,540.00
Disclosure

SEC source: 0001493152-23-044068 · ownership.xml · nonDerivative · entry 1

Seefried Sundie · CIK 0001935358 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,214,572

Read SEC document
December 05, 2023 Filed Dec 7, 2023 19:11 UTC
Emmi DonaldChief Legal Officer
PurchaseClass A Common Stock 66,000 $0.87 $57,420.00
Disclosure

SEC source: 0001493152-23-044100 · ownership.xml · nonDerivative · entry 1

Emmi Donald · CIK 0001935370 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 361,697

Read SEC document
December 05, 2023 Filed Dec 12, 2023 22:00 UTC PurchaseClass A Common Stock 5,000 $0.75 $3,745.00
Disclosure

SEC source: 0001493152-23-044582 · ownership.xml · nonDerivative · entry 1

Niehaus Jonathon · CIK 0001935448 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 154,359

Read SEC document
December 05, 2023 Filed Dec 17, 2024 17:40 UTC
Seefried SundieChief Executive Officer
PurchaseClass A Common Stock 21,900 $0.88 $19,272.00
Disclosure

SEC source: 0001493152-24-050474 · ownership.xml · nonDerivative · entry 5

Seefried Sundie · CIK 0001935358 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,570,480

F8 · shares: The Reporting Person's original Form 4 relating to this transaction, filed on December 7, 2023 misreported the amount of shares purchased by the Reporting Person in open market transactions on December 5, 2023. As a result of this administrative error, the number of shares beneficially owned by the Reporting Person following the transaction reflects an increase in the number of shares previously reported as beneficially owned by the Reporting Person by 1,900 shares.

F9 · price: The Reporting Person executed a trade order through a broker-dealer which resulted in multiple same day, same way open market purchases, with prices ranging from $0.85 to $0.90 per share. The Reporting Person has reported these purchases on an aggregate basis using the weighted average price for the transactions. The Reporting Person undertakes to provide, upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares purchased at each separate price.

F1 · balance_after: Includes incentive stock options to purchase 366,666 shares of the Issuer's Class A Common Stock, which options expire ten years from October 4, 2022 (the grant date of such options) and have an exercise price per share equal to $6.67. 33% of the options vested on October 4, 2022, 33% of the options vested on October 4, 2023, and 33% of the options vested on October 4, 2024.

F8 · balance_after: The Reporting Person's original Form 4 relating to this transaction, filed on December 7, 2023 misreported the amount of shares purchased by the Reporting Person in open market transactions on December 5, 2023. As a result of this administrative error, the number of shares beneficially owned by the Reporting Person following the transaction reflects an increase in the number of shares previously reported as beneficially owned by the Reporting Person by 1,900 shares.

Read SEC document
December 04, 2023 Filed Dec 5, 2023 16:30 UTC
Seefried SundieChief Executive Officer
PurchaseClass A Common Stock 9,500 $0.82 $7,790.00
Disclosure

SEC source: 0001493152-23-043704 · ownership.xml · nonDerivative · entry 2

Seefried Sundie · CIK 0001935358 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,194,572

Read SEC document
December 04, 2023 Filed Dec 17, 2024 17:40 UTC
Seefried SundieChief Executive Officer
PurchaseClass A Common Stock 26,342 $0.79 $20,810.18
Disclosure

SEC source: 0001493152-24-050474 · ownership.xml · nonDerivative · entry 4

Seefried Sundie · CIK 0001935358 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,548,580

F6 · shares: The Reporting Person's original Form 4 relating to this transaction, filed on December 5, 2023 misreported the amount of shares and average price of shares purchased by the Reporting Person in open market transactions on December 4, 2023. As a result of this administrative error, the number of shares beneficially owned by the Reporting Person following the transaction reflects an increase in the number of shares previously reported as beneficially owned by the Reporting Person by 16,842 shares, and a decrease in the price of the shares previously reported of $0.08.

F6 · price: The Reporting Person's original Form 4 relating to this transaction, filed on December 5, 2023 misreported the amount of shares and average price of shares purchased by the Reporting Person in open market transactions on December 4, 2023. As a result of this administrative error, the number of shares beneficially owned by the Reporting Person following the transaction reflects an increase in the number of shares previously reported as beneficially owned by the Reporting Person by 16,842 shares, and a decrease in the price of the shares previously reported of $0.08.

F7 · price: The Reporting Person executed a trade order through a broker-dealer which resulted in multiple same day, same way open market purchases, with prices ranging from $0.745 to $0.83 per share. The Reporting Person has reported these purchases on an aggregate basis using the weighted average price for the transactions. The Reporting Person undertakes to provide, upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares purchased at each separate price.

F1 · balance_after: Includes incentive stock options to purchase 366,666 shares of the Issuer's Class A Common Stock, which options expire ten years from October 4, 2022 (the grant date of such options) and have an exercise price per share equal to $6.67. 33% of the options vested on October 4, 2022, 33% of the options vested on October 4, 2023, and 33% of the options vested on October 4, 2024.

F6 · balance_after: The Reporting Person's original Form 4 relating to this transaction, filed on December 5, 2023 misreported the amount of shares and average price of shares purchased by the Reporting Person in open market transactions on December 4, 2023. As a result of this administrative error, the number of shares beneficially owned by the Reporting Person following the transaction reflects an increase in the number of shares previously reported as beneficially owned by the Reporting Person by 16,842 shares, and a decrease in the price of the shares previously reported of $0.08.

Read SEC document
December 01, 2023 Filed Dec 4, 2023 21:30 UTC
Fagan DougDirector
PurchaseSHFS Class A Common Stock 13,000 $0.77 $10,010.00
Disclosure

SEC source: 0001493152-23-043569 · ownership.xml · nonDerivative · entry 1

Fagan Doug · CIK 0001974785 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,000

Read SEC document
December 01, 2023 Filed Dec 5, 2023 16:30 UTC
Seefried SundieChief Executive Officer
PurchaseClass A Common Stock 12,239 $0.75 $9,179.25
Disclosure

SEC source: 0001493152-23-043704 · ownership.xml · nonDerivative · entry 1

Seefried Sundie · CIK 0001935358 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,185,072

Read SEC document
December 01, 2023 Filed Dec 6, 2023 00:05 UTC PurchaseClass A Common Stock 45,000 $0.80 $35,775.00
Disclosure

SEC source: 0001493152-23-043765 · ownership.xml · nonDerivative · entry 1

Carleton Richard · CIK 0001935449 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 180,128

Read SEC document
December 01, 2023 Filed Dec 17, 2024 17:40 UTC
Seefried SundieChief Executive Officer
PurchaseClass A Common Stock 2,239 $0.75 $1,679.25
Disclosure

SEC source: 0001493152-24-050474 · ownership.xml · nonDerivative · entry 3

Seefried Sundie · CIK 0001935358 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,522,238

F4 · shares: The Reporting Person's original Form 4 relating to this transaction, filed on December 5, 2023 misreported the amount of shares purchased by the Reporting Person in open market transactions on December 1, 2023. As a result of this administrative error, the number of shares beneficially owned by the Reporting Person following the transaction reflects a decrease in the number of shares previously reported as beneficially owned by the Reporting Person by 10,000 shares.

F5 · price: The Reporting Person executed a trade order through a broker-dealer which resulted in multiple same day, same way open market purchases, with prices ranging from $0.7491 to $0.75 per share. The Reporting Person has reported these purchases on an aggregate basis using the weighted average price for the transactions. The Reporting Person undertakes to provide, upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares purchased at each separate price.

F1 · balance_after: Includes incentive stock options to purchase 366,666 shares of the Issuer's Class A Common Stock, which options expire ten years from October 4, 2022 (the grant date of such options) and have an exercise price per share equal to $6.67. 33% of the options vested on October 4, 2022, 33% of the options vested on October 4, 2023, and 33% of the options vested on October 4, 2024.

F4 · balance_after: The Reporting Person's original Form 4 relating to this transaction, filed on December 5, 2023 misreported the amount of shares purchased by the Reporting Person in open market transactions on December 1, 2023. As a result of this administrative error, the number of shares beneficially owned by the Reporting Person following the transaction reflects a decrease in the number of shares previously reported as beneficially owned by the Reporting Person by 10,000 shares.

Read SEC document
November 22, 2023 Filed Nov 27, 2023 21:30 UTC
Darwin JohnDirector
OtherCommon Stock 325,313 $0.72 $234,225.36
Disclosure

SEC source: 0001493152-23-042779 · ownership.xml · nonDerivative · entry 1

Darwin John · CIK 0001868212 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote 2

Disclosed balance after: 1,443,157

F1 · kind: The shares have been distributed by Luminous Capital USA Inc. directly to certain parties as consideration for previous services. As such, the Reporting Person's aggregate share interest has decreased. The Reporting Person received no additional consideration for the distribution of shares.

F2 · ownership.direct: Shares are held by Luminous Capital USA Inc. of which the Reporting Person is a shareholder and has dispositive voting control.

Read SEC document
July 12, 2023 Filed Dec 17, 2024 17:40 UTC
Seefried SundieChief Executive Officer
PurchaseClass A Common Stock 970,000 $0.50 $485,000.00
Disclosure

SEC source: 0001493152-24-050474 · ownership.xml · nonDerivative · entry 2

Seefried Sundie · CIK 0001935358 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,519,999

F3 · shares: Represents 970,000 shares of the Issuer's Class A Common Stock issued to the Reporting Person as a bonus in connection with the Issuer's successful consummation of its business combination with Northern Lights Acquisition Corp., under the terms of that certain amendment and restatement of the Reporting Person's employment agreement with Partner Colorado Credit Union, a Colorado corporation, which bonus amount was inadvertently misreported as 930,700 shares of the Issuer's Class A Common Stock in the Schedule 14A filed by the Issuer on June 10, 2022 in connection with such business combination.

F1 · balance_after: Includes incentive stock options to purchase 366,666 shares of the Issuer's Class A Common Stock, which options expire ten years from October 4, 2022 (the grant date of such options) and have an exercise price per share equal to $6.67. 33% of the options vested on October 4, 2022, 33% of the options vested on October 4, 2023, and 33% of the options vested on October 4, 2024.

Read SEC document
June 26, 2023 Filed Jun 28, 2023 20:30 UTC OtherClass A Common Stock 30,000 $0.52 $15,600.00
Disclosure

SEC source: 0001493152-23-022773 · ownership.xml · nonDerivative · entry 1

Summers Jonathan · CIK 0001868575 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 143,128

Read SEC document
June 26, 2023 Filed Jun 28, 2023 20:30 UTC
Darwin JohnDirector
OtherCommon Stock 97,096 $0.52 $50,489.92
Disclosure

SEC source: 0001493152-23-022771 · ownership.xml · nonDerivative · entry 1

Darwin John · CIK 0001868212 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 1,768,470

F1 · kind: The shares have been distributed by Luminous Capital USA Inc. directly to certain parties as consideration for previous services. As such, the Reporting Person's aggregate share interest has decreased. The Reporting Person received no additional consideration for the distribution of shares.

F2 · ownership.direct: Shares are held by Luminous Capital USA Inc. of which the Reporting Person is a shareholder and has dispositive voting control.

F2 · ownership.nature: Shares are held by Luminous Capital USA Inc. of which the Reporting Person is a shareholder and has dispositive voting control.

Read SEC document
June 09, 2023 Filed Jun 12, 2023 07:30 UTC
Emmi DonaldChief Legal Officer
PurchaseClass A Common Stock 38,000 $0.59 $22,382.00
Disclosure

SEC source: 0001493152-23-020844 · ownership.xml · nonDerivative · entry 1

Emmi Donald · CIK 0001935370 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 295,697

Read SEC document
June 09, 2023 Filed Jun 12, 2023 11:30 UTC
Darwin JohnDirector
PurchaseCommon Stock 25,000 $0.59 $14,750.00
Disclosure

SEC source: 0001493152-23-020842 · ownership.xml · nonDerivative · entry 1

Darwin John · CIK 0001868212 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,865,566

Read SEC document
June 09, 2023 Filed Jun 12, 2023 11:30 UTC
Roda DanEVP / Chief Operating Officer
PurchaseClass A Common Stock 1,500 $0.59 $885.00
Disclosure

SEC source: 0001493152-23-020843 · ownership.xml · nonDerivative · entry 1

Roda Dan · CIK 0001975148 · EVP / Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 267,841

Read SEC document
June 09, 2023 Filed Jun 12, 2023 11:30 UTC PurchaseClass A Common Stock 8,000 $0.60 $4,800.00
Disclosure

SEC source: 0001493152-23-020845 · ownership.xml · nonDerivative · entry 1

Summers Jonathan · CIK 0001868575 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 113,128

Read SEC document
June 08, 2023 Filed Jun 12, 2023 07:30 UTC
Seefried SundieChief Executive Officer
PurchaseClass A Common Stock 19,500 $0.53 $10,335.00
Disclosure

SEC source: 0001493152-23-020841 · ownership.xml · nonDerivative · entry 1

Seefried Sundie · CIK 0001935358 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · By Spouse

Disclosed balance after: 1,172,833

Read SEC document
May 31, 2023 Filed Jun 1, 2023 20:30 UTC PurchaseClass A Common Stock 10,000 $0.49 $4,853.00
Disclosure

SEC source: 0001493152-23-019811 · ownership.xml · nonDerivative · entry 1

Meyers Jennifer · CIK 0001935417 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 101,998

Read SEC document
May 30, 2023 Filed May 30, 2023 20:30 UTC
Darwin JohnDirector
PurchaseClass A Common Stock 15,000 $0.48 $7,200.00
Disclosure

SEC source: 0001493152-23-019471 · ownership.xml · nonDerivative · entry 1

Darwin John · CIK 0001868212 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,840,566

Read SEC document
May 26, 2023 Filed May 30, 2023 20:30 UTC PurchaseClass A Common Stock 5,000 $0.48 $2,400.00
Disclosure

SEC source: 0001493152-23-019467 · ownership.xml · nonDerivative · entry 2

Carleton Richard · CIK 0001935449 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 135,128

Read SEC document
May 25, 2023 Filed May 30, 2023 20:30 UTC PurchaseClass A Common Stock 50,000 $0.45 $22,500.00
Disclosure

SEC source: 0001493152-23-019467 · ownership.xml · nonDerivative · entry 1

Carleton Richard · CIK 0001935449 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 130,128

Read SEC document
May 24, 2023 Filed May 25, 2023 00:00 UTC
Darwin JohnDirector
PurchaseCommon Stock 15,000 $0.40 $6,000.00
Disclosure

SEC source: 0001493152-23-018971 · ownership.xml · nonDerivative · entry 1

Darwin John · CIK 0001868212 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,825,566

Read SEC document
May 24, 2023 Filed May 24, 2023 22:00 UTC
Dennedy James HChief Financial Officer
PurchaseSeries A Common Shares 25,000 $0.40 $10,000.00
Disclosure

SEC source: 0001493152-23-018964 · ownership.xml · nonDerivative · entry 3

Dennedy James H · CIK 0001249723 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 166,667

Read SEC document
May 24, 2023 Filed May 24, 2023 22:00 UTC
Fagan DougDirector
PurchaseSHFS Class A Common Stock 25,000 $0.40 $9,997.50
Disclosure

SEC source: 0001493152-23-018963 · ownership.xml · nonDerivative · entry 2

Fagan Doug · CIK 0001974785 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Spouse

Disclosed balance after: 45,000

Read SEC document
May 24, 2023 Filed May 25, 2023 20:30 UTC PurchaseClass A Common Stock 50,000 $0.39 $19,250.00
Disclosure

SEC source: 0001493152-23-019092 · ownership.xml · nonDerivative · entry 1

Niehaus Jonathon · CIK 0001935448 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 149,359

Read SEC document
May 24, 2023 Filed May 30, 2023 20:30 UTC Amendment
Dennedy James HChief Financial Officer
PurchaseSeries A Common Shares 25,000 $0.40 $10,000.00
Disclosure

SEC source: 0001493152-23-019473 · ownership.xml · nonDerivative · entry 2

Dennedy James H · CIK 0001249723 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 166,667

Read SEC document
May 23, 2023 Filed May 24, 2023 23:00 UTC PurchaseClass A Common Stock 11,870 $0.39 $4,569.95
Disclosure

SEC source: 0001493152-23-018968 · ownership.xml · nonDerivative · entry 1

Meyers Jennifer · CIK 0001935417 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 91,998

Read SEC document
May 23, 2023 Filed May 24, 2023 22:00 UTC
Dennedy James HChief Financial Officer
PurchaseSeries A Common Shares 25,000 $0.38 $9,500.00
Disclosure

SEC source: 0001493152-23-018964 · ownership.xml · nonDerivative · entry 2

Dennedy James H · CIK 0001249723 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 141,667

Read SEC document
May 23, 2023 Filed May 25, 2023 16:30 UTC
Emmi DonaldChief Legal Officer
PurchaseClass A Common Stock 141,012 $0.38 $53,443.55
Disclosure

SEC source: 0001493152-23-019106 · ownership.xml · nonDerivative · entry 1

Emmi Donald · CIK 0001935370 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 257,697

Read SEC document
May 23, 2023 Filed May 30, 2023 20:30 UTC Amendment
Dennedy James HChief Financial Officer
PurchaseSeries A Common Shares 25,000 $0.38 $9,500.00
Disclosure

SEC source: 0001493152-23-019473 · ownership.xml · nonDerivative · entry 1

Dennedy James H · CIK 0001249723 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 141,667

Read SEC document
May 22, 2023 Filed May 24, 2023 22:00 UTC
Fagan DougDirector
PurchaseSHFS Class A Common Stock 20,000 $0.38 $7,688.00
Disclosure

SEC source: 0001493152-23-018963 · ownership.xml · nonDerivative · entry 1

Fagan Doug · CIK 0001974785 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Read SEC document
May 09, 2023 Filed May 24, 2023 22:00 UTC
Dennedy James HChief Financial Officer
GrantSeries A Common Shares 116,667 $0.50 $58,333.50
Disclosure

SEC source: 0001493152-23-018964 · ownership.xml · nonDerivative · entry 1

Dennedy James H · CIK 0001249723 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 116,667

Read SEC document
May 09, 2023 Filed Dec 17, 2024 17:40 UTC
Seefried SundieChief Executive Officer
GrantClass A Common Stock 183,333 $0.00 $0.00
Disclosure

SEC source: 0001493152-24-050474 · ownership.xml · nonDerivative · entry 1

Seefried Sundie · CIK 0001935358 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 549,999

F2 · shares: The reported transaction involved the Reporting Person's receipt of 183,333 restricted stock units under the Issuer's 2022 Equity Incentive Plan, all of which vested immediately upon issuance.

F1 · balance_after: Includes incentive stock options to purchase 366,666 shares of the Issuer's Class A Common Stock, which options expire ten years from October 4, 2022 (the grant date of such options) and have an exercise price per share equal to $6.67. 33% of the options vested on October 4, 2022, 33% of the options vested on October 4, 2023, and 33% of the options vested on October 4, 2024.

Read SEC document
May 09, 2023 Filed Dec 27, 2024 17:25 UTC
Beuerlein TylerChief Business Develop Officer
GrantClass A Common Stock 116,666 $0.00 $0.00
Disclosure

SEC source: 0001493152-24-052306 · ownership.xml · nonDerivative · entry 1

Beuerlein Tyler · CIK 0001935377 · Chief Business Develop Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 350,000

F2 · shares: The reported transaction involved the Reporting Person's receipt of 116,667 restricted stock units under the Issuer's 2022 Equity Incentive Plan, all of which vested immediately upon issuance.

F1 · balance_after: Includes incentive stock options to purchase 233,334 shares of the Issuer's Class A Common Stock, which options expire ten years from October 4, 2022 (the grant date of such options) and have an exercise price per share equal to $6.67. 33% of the options vested on October 4, 2022, 33% of the options vested on October 4, 2023, and the remaining options shall vest on October 4, 2024. The Reporting Person is subject to a lockup agreement with the Issuer regarding the shares underlying these incentive stock options.

Read SEC document
January 10, 2023 Filed Nov 1, 2024 21:25 UTC
Racine KarlDirector
GrantClass A Common Stock 80,128 $0.00 $0.00
Disclosure

SEC source: 0001493152-24-043379 · ownership.xml · nonDerivative · entry 1

Racine Karl · CIK 0001935391 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,128

F1 · shares: The reported transaction involved the Reporting Person's receipt of 80,138 restricted stock units under the Issuer's 2022 Equity Incentive Plan, all of which vested immediately upon issuance.

Read SEC document
January 10, 2023 Filed Dec 17, 2024 17:40 UTC
Seefried SundieChief Executive Officer
GrantRestricted Stock Units · Derivative 68,700 $0.00 $0.00
Disclosure

SEC source: 0001493152-24-050474 · ownership.xml · derivative · entry 13

Seefried Sundie · CIK 0001935358 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 68,700

Underlying: Class A Common Stock · 68,700 shares

Expires not disclosed

F17 · derivative.exercise_price: The restricted stock units issued to the Reporting Person convert into shares of Class A Common Stock on a one-for-one basis.

F19 · derivative.exercise_date: On January 10, 2023, the Reporting Person was granted 68,700 restricted stick units under the Issuer's 2022 Equity Incentive Plan, which vest in three equal, annual installments beginning on December 31, 2023.

F19 · derivative.expiration_date: On January 10, 2023, the Reporting Person was granted 68,700 restricted stick units under the Issuer's 2022 Equity Incentive Plan, which vest in three equal, annual installments beginning on December 31, 2023.

Read SEC document
January 10, 2023 Filed Dec 27, 2024 17:25 UTC
Beuerlein TylerChief Business Develop Officer
GrantRestricted Stock Units · Derivative 58,800 $0.00 $0.00
Disclosure

SEC source: 0001493152-24-052306 · ownership.xml · derivative · entry 4

Beuerlein Tyler · CIK 0001935377 · Chief Business Develop Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 58,800

Underlying: Class A Common Stock · 58,800 shares

Expires not disclosed

F3 · derivative.exercise_price: The restricted stock units issued to the Reporting Person convert into shares of Class A Common Stock on a one-for-one basis.

F4 · derivative.exercise_date: On January 10, 2023, the Reporting Person was granted 58,800 restricted stock units under the Issuer's 2022 Equity Incentive Plan, which vest in three equal, annual installments beginning on December 31, 2023.

F4 · derivative.expiration_date: On January 10, 2023, the Reporting Person was granted 58,800 restricted stock units under the Issuer's 2022 Equity Incentive Plan, which vest in three equal, annual installments beginning on December 31, 2023.

Read SEC document
January 10, 2023 Filed Jun 6, 2025 17:24 UTC
Emmi DonaldChief Legal Officer
GrantRestricted Stock Units 2,795 $0.00 $0.00
Disclosure

SEC source: 0001641172-25-014122 · ownership.xml · nonDerivative · entry 1

Emmi Donald · CIK 0001935370 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,254

F1 · shares: Represents 2,795 restricted stock units ("RSU") which vest in three equal installments on December 31, 2023, December 31, 2024, and December 31, 2025. RSUs convert into Class A Common Stock on a one-for-one basis.

F2 · balance_after: All security amounts and prices in this Form 4 have been calculated to conform to the 20 for 1 reverse stock split as identified on the Current Report on Form 8-K filed with the Securities and Exchange Commission on March 20, 2025 (the "Reverse Stock Split").

Read SEC document
October 04, 2022 Filed Oct 7, 2022 15:58 UTC
Seefried SundieChief Executive Officer
GrantIncentive Stock Options · Derivative 550,000 $0.00 Strike: $6.67 $0.00
Disclosure

SEC source: 0001935358-22-000002 · primary_doc.xml · derivative · entry 1

Seefried Sundie · CIK 0001935358 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 550,000

Underlying: Class A Common Stock · 550,000 shares

Expires 2032-10-04

F1 · security: Incentive stock options to purchase 550,000 shares of the Issuer's Class A Common Stock granted under the Issuer's 2022 Equity Incentive Plan, which options expire 10 years from the grant date. Thirty three percent (33%) of the options vested on the grant date, and the remaining options shall vest in two substantially equal yearly installments on the first and second anniversaries of the grant date. The Reporting Person is subject to a lockup agreement with the Issuer regarding the shares underlying these incentive stock options.

F1 · derivative.exercise_date: Incentive stock options to purchase 550,000 shares of the Issuer's Class A Common Stock granted under the Issuer's 2022 Equity Incentive Plan, which options expire 10 years from the grant date. Thirty three percent (33%) of the options vested on the grant date, and the remaining options shall vest in two substantially equal yearly installments on the first and second anniversaries of the grant date. The Reporting Person is subject to a lockup agreement with the Issuer regarding the shares underlying these incentive stock options.

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October 04, 2022 Filed Oct 7, 2022 16:07 UTC
Beuerlein TylerChief Business Develop Officer
GrantIncentive Stock Options · Derivative 350,000 $0.00 Strike: $6.67 $0.00
Disclosure

SEC source: 0001935377-22-000002 · primary_doc.xml · derivative · entry 1

Beuerlein Tyler · CIK 0001935377 · Chief Business Develop Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,000

Underlying: Class A Common Stock · 350,000 shares

Expires 2032-10-04

F1 · security: Incentive stock options to purchase 350,000 shares of the Issuer's Class A Common Stock granted under the Issuer's 2022 Equity Incentive Plan, which options expire 10 years from the grant date. Thirty three percent (33%) of the options vested on the grant date, and the remaining options shall vest in two substantially equal yearly installments on the first and second anniversaries of the grant date. The Reporting Person is subject to a lockup agreement with the Issuer regarding the shares underlying these incentive stock options.

F1 · derivative.exercise_date: Incentive stock options to purchase 350,000 shares of the Issuer's Class A Common Stock granted under the Issuer's 2022 Equity Incentive Plan, which options expire 10 years from the grant date. Thirty three percent (33%) of the options vested on the grant date, and the remaining options shall vest in two substantially equal yearly installments on the first and second anniversaries of the grant date. The Reporting Person is subject to a lockup agreement with the Issuer regarding the shares underlying these incentive stock options.

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October 04, 2022 Filed Oct 7, 2022 16:25 UTC
Emmi DonaldChief Legal Officer
GrantIncentive Stock Options · Derivative 350,000 $0.00 Strike: $6.67 $0.00
Disclosure

SEC source: 0001935370-22-000002 · primary_doc.xml · derivative · entry 1

Emmi Donald · CIK 0001935370 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,000

Underlying: Class A Common Stock · 350,000 shares

Expires 2032-10-04

F1 · security: Incentive stock options to purchase 350,000 shares of the Issuer's Class A Common Stock granted under the Issuer's 2022 Equity Incentive Plan, which options expire 10 years from the grant date. Thirty three percent (33%) of the options vested on the grant date, and the remaining options shall vest in two substantially equal yearly installments on the first and second anniversaries of the grant date. The Reporting Person is subject to a lockup agreement with the Issuer regarding the shares underlying these incentive stock options.

F1 · derivative.exercise_date: Incentive stock options to purchase 350,000 shares of the Issuer's Class A Common Stock granted under the Issuer's 2022 Equity Incentive Plan, which options expire 10 years from the grant date. Thirty three percent (33%) of the options vested on the grant date, and the remaining options shall vest in two substantially equal yearly installments on the first and second anniversaries of the grant date. The Reporting Person is subject to a lockup agreement with the Issuer regarding the shares underlying these incentive stock options.

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September 28, 2022 Filed Oct 1, 2022 01:58 UTC
Mann JoshuaDirector
ConversionClass B common stock · Derivative 2,835,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001868645-22-000001 · primary_doc.xml · derivative · entry 2

Mann Joshua · CIK 0001868645 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · indirect

Disclosed balance after: 0

Underlying: Class A common stock · 2,835,000 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.

F1 · derivative.exercise_price: As described in the Issuer's registration statement on Form S-1 (File No. 333-256701), under the heading "Description of Securities," the 2,835,000 shares of the Issuer's Class B Common Stock held by the Reporting Person converted into shares of the Issuer's Class A Common Stock on a one-for-one basis upon consummation of the Issuer's initial business combination.

F1 · price: As described in the Issuer's registration statement on Form S-1 (File No. 333-256701), under the heading "Description of Securities," the 2,835,000 shares of the Issuer's Class B Common Stock held by the Reporting Person converted into shares of the Issuer's Class A Common Stock on a one-for-one basis upon consummation of the Issuer's initial business combination.

F1 · derivative.exercise_date: As described in the Issuer's registration statement on Form S-1 (File No. 333-256701), under the heading "Description of Securities," the 2,835,000 shares of the Issuer's Class B Common Stock held by the Reporting Person converted into shares of the Issuer's Class A Common Stock on a one-for-one basis upon consummation of the Issuer's initial business combination.

F1 · derivative.expiration_date: As described in the Issuer's registration statement on Form S-1 (File No. 333-256701), under the heading "Description of Securities," the 2,835,000 shares of the Issuer's Class B Common Stock held by the Reporting Person converted into shares of the Issuer's Class A Common Stock on a one-for-one basis upon consummation of the Issuer's initial business combination.

F2 · ownership.nature: The securities are held directly by 5AK, LLC, the sponsor of the Issuer (the "Sponsor"). The reporting person is a control person of the manager of the Sponsor, Luminous Capital Inc., and may be deemed to beneficially own shares held by the Sponsor by virtue of his control over the Sponsor. The reporting person disclaims beneficial ownership of the shares of the Issuer's Class A Common Stock held by the Sponsor, except to the extent of his pecuniary interest.

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September 28, 2022 Filed Oct 1, 2022 01:58 UTC
Mann JoshuaDirector
ConversionClass A common stock 2,835,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001868645-22-000001 · primary_doc.xml · nonDerivative · entry 1

Mann Joshua · CIK 0001868645 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Indirect

Disclosed balance after: 3,363,175

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.

F1 · price: As described in the Issuer's registration statement on Form S-1 (File No. 333-256701), under the heading "Description of Securities," the 2,835,000 shares of the Issuer's Class B Common Stock held by the Reporting Person converted into shares of the Issuer's Class A Common Stock on a one-for-one basis upon consummation of the Issuer's initial business combination.

F2 · ownership.nature: The securities are held directly by 5AK, LLC, the sponsor of the Issuer (the "Sponsor"). The reporting person is a control person of the manager of the Sponsor, Luminous Capital Inc., and may be deemed to beneficially own shares held by the Sponsor by virtue of his control over the Sponsor. The reporting person disclaims beneficial ownership of the shares of the Issuer's Class A Common Stock held by the Sponsor, except to the extent of his pecuniary interest.

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September 28, 2022 Filed Sep 30, 2022 21:35 UTC ConversionClass B common stock · Derivative 10,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001869931-22-000002 · primary_doc.xml · derivative · entry 2

Torres Peter Lansing · CIK 0001869931 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Class A common stock · 10,000 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.

F1 · derivative.exercise_price: As described in the Issuer's registration statement on Form S-1 (File No. 333-256701), under the heading "Description of Securities," the 10,000 shares of the Issuer's Class B Common Stock held by the Reporting Person converted into shares of the Issuer's Class A Common Stock on a one-for-one basis upon consummation of the Issuer's initial business combination.

F1 · price: As described in the Issuer's registration statement on Form S-1 (File No. 333-256701), under the heading "Description of Securities," the 10,000 shares of the Issuer's Class B Common Stock held by the Reporting Person converted into shares of the Issuer's Class A Common Stock on a one-for-one basis upon consummation of the Issuer's initial business combination.

F1 · derivative.exercise_date: As described in the Issuer's registration statement on Form S-1 (File No. 333-256701), under the heading "Description of Securities," the 10,000 shares of the Issuer's Class B Common Stock held by the Reporting Person converted into shares of the Issuer's Class A Common Stock on a one-for-one basis upon consummation of the Issuer's initial business combination.

F1 · derivative.expiration_date: As described in the Issuer's registration statement on Form S-1 (File No. 333-256701), under the heading "Description of Securities," the 10,000 shares of the Issuer's Class B Common Stock held by the Reporting Person converted into shares of the Issuer's Class A Common Stock on a one-for-one basis upon consummation of the Issuer's initial business combination.

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September 28, 2022 Filed Sep 30, 2022 21:35 UTC ConversionClass A common stock 10,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001869931-22-000002 · primary_doc.xml · nonDerivative · entry 1

Torres Peter Lansing · CIK 0001869931 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

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.

F1 · price: As described in the Issuer's registration statement on Form S-1 (File No. 333-256701), under the heading "Description of Securities," the 10,000 shares of the Issuer's Class B Common Stock held by the Reporting Person converted into shares of the Issuer's Class A Common Stock on a one-for-one basis upon consummation of the Issuer's initial business combination.

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September 28, 2022 Filed Oct 1, 2022 01:51 UTC
Darwin JohnDirector
ConversionClass B common stock · Derivative 2,835,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001868212-22-000002 · primary_doc.xml · derivative · entry 2

Darwin John · CIK 0001868212 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Indirect

Disclosed balance after: 0

Underlying: Class A common stock · 2,835,000 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.

F1 · derivative.exercise_price: As described in the Issuer's registration statement on Form S-1 (File No. 333-256701), under the heading "Description of Securities," the 2,835,000 shares of the Issuer's Class B Common Stock held by the Reporting Person converted into shares of the Issuer's Class A Common Stock on a one-for-one basis upon consummation of the Issuer's initial business combination.

F1 · price: As described in the Issuer's registration statement on Form S-1 (File No. 333-256701), under the heading "Description of Securities," the 2,835,000 shares of the Issuer's Class B Common Stock held by the Reporting Person converted into shares of the Issuer's Class A Common Stock on a one-for-one basis upon consummation of the Issuer's initial business combination.

F1 · derivative.exercise_date: As described in the Issuer's registration statement on Form S-1 (File No. 333-256701), under the heading "Description of Securities," the 2,835,000 shares of the Issuer's Class B Common Stock held by the Reporting Person converted into shares of the Issuer's Class A Common Stock on a one-for-one basis upon consummation of the Issuer's initial business combination.

F1 · derivative.expiration_date: As described in the Issuer's registration statement on Form S-1 (File No. 333-256701), under the heading "Description of Securities," the 2,835,000 shares of the Issuer's Class B Common Stock held by the Reporting Person converted into shares of the Issuer's Class A Common Stock on a one-for-one basis upon consummation of the Issuer's initial business combination.

F2 · ownership.nature: The securities are held directly by 5AK, LLC, the sponsor of the Issuer (the "Sponsor"). The reporting person is a control person of the manager of the Sponsor, Luminous Capital Inc., and may be deemed to beneficially own shares held by the Sponsor by virtue of his control over the Sponsor. The reporting person disclaims beneficial ownership of the shares of the Issuer's Class A Common Stock held by the Sponsor, except to the extent of his pecuniary interest.

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September 28, 2022 Filed Oct 1, 2022 01:51 UTC
Darwin JohnDirector
ConversionClass A common stock 2,835,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001868212-22-000002 · primary_doc.xml · nonDerivative · entry 1

Darwin John · CIK 0001868212 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Indirect

Disclosed balance after: 3,363,175

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.

F1 · price: As described in the Issuer's registration statement on Form S-1 (File No. 333-256701), under the heading "Description of Securities," the 2,835,000 shares of the Issuer's Class B Common Stock held by the Reporting Person converted into shares of the Issuer's Class A Common Stock on a one-for-one basis upon consummation of the Issuer's initial business combination.

F2 · ownership.nature: The securities are held directly by 5AK, LLC, the sponsor of the Issuer (the "Sponsor"). The reporting person is a control person of the manager of the Sponsor, Luminous Capital Inc., and may be deemed to beneficially own shares held by the Sponsor by virtue of his control over the Sponsor. The reporting person disclaims beneficial ownership of the shares of the Issuer's Class A Common Stock held by the Sponsor, except to the extent of his pecuniary interest.

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September 28, 2022 Filed Oct 1, 2022 01:43 UTC
5AK, LLC10% owner
ConversionClass B common stock · Derivative 2,835,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001868205-22-000002 · primary_doc.xml · derivative · entry 2

5AK, LLC · CIK 0001868205 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A common stock · 2,835,000 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.

F1 · derivative.exercise_price: As described in the Issuer's registration statement on Form S-1 (File No. 333-256701), under the heading "Description of Securities," the 2,835,000 shares of the Issuer's Class B Common Stock held by the Reporting Person converted into shares of the Issuer's Class A Common Stock on a one-for-one basis upon consummation of the Issuer's initial business combination.

F1 · price: As described in the Issuer's registration statement on Form S-1 (File No. 333-256701), under the heading "Description of Securities," the 2,835,000 shares of the Issuer's Class B Common Stock held by the Reporting Person converted into shares of the Issuer's Class A Common Stock on a one-for-one basis upon consummation of the Issuer's initial business combination.

F1 · derivative.exercise_date: As described in the Issuer's registration statement on Form S-1 (File No. 333-256701), under the heading "Description of Securities," the 2,835,000 shares of the Issuer's Class B Common Stock held by the Reporting Person converted into shares of the Issuer's Class A Common Stock on a one-for-one basis upon consummation of the Issuer's initial business combination.

F1 · derivative.expiration_date: As described in the Issuer's registration statement on Form S-1 (File No. 333-256701), under the heading "Description of Securities," the 2,835,000 shares of the Issuer's Class B Common Stock held by the Reporting Person converted into shares of the Issuer's Class A Common Stock on a one-for-one basis upon consummation of the Issuer's initial business combination.

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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.