Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| i3 Verticals, Inc.IIIV · Entity 5604 | Chief Technology Officer | June 08, 2022 | June 09, 2022 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
i3 Verticals, Inc.
Report date June 08, 2022 · Filed June 09, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A common stock, par value $0.0001 per shareSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2022-06-08 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2022-06-08 · Exercise / conversion · Acquired 7,500 · Balance 7,500 Row 2 · 2022-06-08 · Tax withholding · Disposed 5,176 · Balance 2,324 Row 3 · 2022-06-08 · Sale · Disposed 2,324 · Balance 0 |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $13.00 · Expires 2028-06-20 | Direct | 91,300 |
Reported balance
After 2022-06-08 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2022-06-08 · Exercise / conversion · Disposed 7,500 · Balance 91,300 F1: The option vests ratably in three equal annual installments beginning on the first anniversary of the grant date, subject to the Reporting Person's continued service with the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: The option vests ratably in three equal annual installments beginning on the first anniversary of the grant date, subject to the Reporting Person's continued service with the Issuer.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 25, 2028 Filed Jun 25, 2018 21:32 UTC | i3 Verticals, Inc. IIIV · Entity 5604 | OtherClass B common stock, par value $0.0001 per share | 34,868 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001628280-18-008353 · wf-form4_152997671794674.xml · nonDerivative · entry 1 BERTKE ROBERT · CIK 0001737502 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,868 F1 · kind: Pursuant to the Reorganization Transactions (as defined in i3 Verticals, Inc.'s (the "Issuer") Registration Statement on Form S-1, as amended (File No. 333-225214) (the "Registration Statement")) as part of the Issuer's initial public offering ("IPO"), the Reporting Person's equity ownership in i3 Verticals, LLC was converted into newly issued common units in i3 Verticals, LLC (each a "Common Unit") together with an equal number of shares of Class B common stock, par value $0.0001 per share (the "Class B Common Stock"), in the Issuer. The shares of Class B Common Stock (i) confer no incidents of economic ownership on the holders thereof, (ii) only confer voting rights on the holders thereof and (iii) may only be issued, on a one-for-one basis, to the holders of Common Units. F1 · price: Pursuant to the Reorganization Transactions (as defined in i3 Verticals, Inc.'s (the "Issuer") Registration Statement on Form S-1, as amended (File No. 333-225214) (the "Registration Statement")) as part of the Issuer's initial public offering ("IPO"), the Reporting Person's equity ownership in i3 Verticals, LLC was converted into newly issued common units in i3 Verticals, LLC (each a "Common Unit") together with an equal number of shares of Class B common stock, par value $0.0001 per share (the "Class B Common Stock"), in the Issuer. The shares of Class B Common Stock (i) confer no incidents of economic ownership on the holders thereof, (ii) only confer voting rights on the holders thereof and (iii) may only be issued, on a one-for-one basis, to the holders of Common Units. Read SEC document |
| June 08, 2022 Filed Jun 9, 2022 16:08 UTC | i3 Verticals, Inc. IIIV · Entity 5604 | Exercise / conversionStock Option (Right to Buy) · Derivative | 7,500 | $0.00 Strike: $13.00 | $0.00 |
DisclosureSEC source: 0001209191-22-035356 · doc4.xml · derivative · entry 4 BERTKE ROBERT · CIK 0001737502 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,300 Underlying: Class A common stock, par value $0.0001 per share · 7,500 shares Expires 2028-06-20 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_date: The option vests ratably in three equal annual installments beginning on the first anniversary of the grant date, subject to the Reporting Person's continued service with the Issuer. Read SEC document |
| June 08, 2022 Filed Jun 9, 2022 16:08 UTC | i3 Verticals, Inc. IIIV · Entity 5604 | SaleClass A common stock, par value $0.0001 per share | 2,324 | $24.72 | $57,449.28 |
DisclosureSEC source: 0001209191-22-035356 · doc4.xml · nonDerivative · entry 3 BERTKE ROBERT · CIK 0001737502 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| June 08, 2022 Filed Jun 9, 2022 16:08 UTC | i3 Verticals, Inc. IIIV · Entity 5604 | Tax withholdingClass A common stock, par value $0.0001 per share | 5,176 | $24.74 | $128,054.24 |
DisclosureSEC source: 0001209191-22-035356 · doc4.xml · nonDerivative · entry 2 BERTKE ROBERT · CIK 0001737502 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,324 Read SEC document |
| June 08, 2022 Filed Jun 9, 2022 16:08 UTC | i3 Verticals, Inc. IIIV · Entity 5604 | Exercise / conversionClass A common stock, par value $0.0001 per share | 7,500 | $13.00 | $97,500.00 |
DisclosureSEC source: 0001209191-22-035356 · doc4.xml · nonDerivative · entry 1 BERTKE ROBERT · CIK 0001737502 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,500 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. Read SEC document |
| February 11, 2022 Filed Feb 15, 2022 17:05 UTC | i3 Verticals, Inc. IIIV · Entity 5604 | GrantStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $26.53 | $0.00 |
DisclosureSEC source: 0001209191-22-009823 · doc4.xml · derivative · entry 1 BERTKE ROBERT · CIK 0001737502 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Class A common stock, par value $0.0001 per share · 20,000 shares Expires 2032-02-11 F1 · derivative.exercise_date: The options vest ratably in three equal annual installments beginning on the first anniversary of the grant date, subject to the Reporting Person's continued service with the Issuer. Read SEC document |
| February 11, 2021 Filed Feb 12, 2021 16:06 UTC | i3 Verticals, Inc. IIIV · Entity 5604 | GrantStock Option (Right to Buy) · Derivative | 10,000 | $0.00 Strike: $34.20 | $0.00 |
DisclosureSEC source: 0001209191-21-010096 · doc4.xml · derivative · entry 1 BERTKE ROBERT · CIK 0001737502 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Class A common stock, par value $0.0001 per share · 10,000 shares Expires 2031-02-11 F1 · derivative.exercise_date: The option vests ratably in three equal annual installments beginning on the first anniversary of the grant date, subject to the Reporting Person's continued service with the Issuer. Read SEC document |
| December 18, 2020 Filed Dec 21, 2020 17:18 UTC | i3 Verticals, Inc. IIIV · Entity 5604 | Exercise / conversionStock Option (Right to Buy) · Derivative | 11,111 | $0.00 Strike: $21.65 | $0.00 |
DisclosureSEC source: 0001209191-20-064685 · doc4.xml · derivative · entry 6 BERTKE ROBERT · CIK 0001737502 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,222 Underlying: Class A common stock, par value $0.0001 per share · 11,111 shares Expires 2029-02-19 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. F2 · derivative.exercise_date: The option vests ratably in three equal annual installments beginning on the first anniversary of the grant date, subject to the Reporting Person's continued service with the Issuer. Read SEC document |
| December 18, 2020 Filed Dec 21, 2020 17:18 UTC | i3 Verticals, Inc. IIIV · Entity 5604 | Exercise / conversionStock Option (Right to Buy) · Derivative | 1,200 | $0.00 Strike: $13.00 | $0.00 |
DisclosureSEC source: 0001209191-20-064685 · doc4.xml · derivative · entry 5 BERTKE ROBERT · CIK 0001737502 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,800 Underlying: Class A common stock, par value $0.0001 per share · 1,200 shares Expires 2028-06-20 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. F2 · derivative.exercise_date: The option vests ratably in three equal annual installments beginning on the first anniversary of the grant date, subject to the Reporting Person's continued service with the Issuer. Read SEC document |
| December 18, 2020 Filed Dec 21, 2020 17:18 UTC | i3 Verticals, Inc. IIIV · Entity 5604 | SaleClass A common stock, par value $0.0001 per share | 3,149 | $32.01 | $100,799.49 |
DisclosureSEC source: 0001209191-20-064685 · doc4.xml · nonDerivative · entry 4 BERTKE ROBERT · CIK 0001737502 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.00 to $32.45, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| December 18, 2020 Filed Dec 21, 2020 17:18 UTC | i3 Verticals, Inc. IIIV · Entity 5604 | Tax withholdingClass A common stock, par value $0.0001 per share | 9,162 | $32.80 | $300,513.60 |
DisclosureSEC source: 0001209191-20-064685 · doc4.xml · nonDerivative · entry 3 BERTKE ROBERT · CIK 0001737502 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,149 Read SEC document |
| December 18, 2020 Filed Dec 21, 2020 17:18 UTC | i3 Verticals, Inc. IIIV · Entity 5604 | Exercise / conversionClass A common stock, par value $0.0001 per share | 11,111 | $21.65 | $240,553.15 |
DisclosureSEC source: 0001209191-20-064685 · doc4.xml · nonDerivative · entry 2 BERTKE ROBERT · CIK 0001737502 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,311 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. Read SEC document |
| December 18, 2020 Filed Dec 21, 2020 17:18 UTC | i3 Verticals, Inc. IIIV · Entity 5604 | Exercise / conversionClass A common stock, par value $0.0001 per share | 1,200 | $13.00 | $15,600.00 |
DisclosureSEC source: 0001209191-20-064685 · doc4.xml · nonDerivative · entry 1 BERTKE ROBERT · CIK 0001737502 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,200 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. Read SEC document |
| February 13, 2020 Filed Feb 18, 2020 17:46 UTC | i3 Verticals, Inc. IIIV · Entity 5604 | GrantStock Option (Right to Buy) · Derivative | 32,000 | $0.00 Strike: $32.25 | $0.00 |
DisclosureSEC source: 0001209191-20-010312 · doc4.xml · derivative · entry 1 BERTKE ROBERT · CIK 0001737502 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,000 Underlying: Class A common stock, par value $0.0001 per share · 32,000 shares Expires 2030-02-13 F1 · derivative.exercise_date: The option vests ratably in three equal annual installments beginning on the first anniversary of the grant date, subject to the Reporting Person's continued service with the Issuer. Read SEC document |
| February 19, 2019 Filed Feb 20, 2019 17:03 UTC | i3 Verticals, Inc. IIIV · Entity 5604 | GrantStock Option (Right to Buy) · Derivative | 33,333 | $0.00 Strike: $21.65 | $0.00 |
DisclosureSEC source: 0001209191-19-011622 · doc4.xml · derivative · entry 1 BERTKE ROBERT · CIK 0001737502 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,333 Underlying: Class A common stock, par value $0.0001 per share · 33,333 shares Expires 2029-02-19 F1 · derivative.exercise_date: The option vests ratably in three equal annual installments beginning on the first anniversary of the grant date, subject to the Reporting Person's continued service with the Issuer. Read SEC document |
| June 25, 2018 Filed Jun 25, 2018 21:32 UTC | i3 Verticals, Inc. IIIV · Entity 5604 | OtherCommon Units · Derivative | 34,868 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001628280-18-008353 · wf-form4_152997671794674.xml · derivative · entry 3 BERTKE ROBERT · CIK 0001737502 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,868 Underlying: Class A common stock, par value $0.0001 per share · 34,868 shares Expires not disclosed F3 · derivative.exercise_price: The vested Common Units may be redeemed by the Reporting Person at any time following the closing of the Issuer's IPO for an equal number of shares of Class A common stock, par value $0.0001 per share (the "Class A Common Stock") or, at the election of i3 Verticals, LLC, cash equal to the volume-weighted average market price of such shares. Upon the Reporting Person's redemption of a Common Unit for Class A Common Stock, any corresponding share of Class B Common Stock will be cancelled. F4 · kind: Pursuant to the Reorganization Transactions (as defined in the Registration Statement) as part of the Issuer's IPO, the Reporting Person's equity ownership in i3 Verticals, LLC was converted into newly issued Common Units together with an equal number of Class B Common Stock, in the Issuer. F3 · price: The vested Common Units may be redeemed by the Reporting Person at any time following the closing of the Issuer's IPO for an equal number of shares of Class A common stock, par value $0.0001 per share (the "Class A Common Stock") or, at the election of i3 Verticals, LLC, cash equal to the volume-weighted average market price of such shares. Upon the Reporting Person's redemption of a Common Unit for Class A Common Stock, any corresponding share of Class B Common Stock will be cancelled. F5 · price: 27,894 Common Units are vested and 6,974 Common Units will vest on August 10, 2020, subject to the Reporting Person's continued service with the Issuer. The Common Units have no expiration date. F5 · derivative.exercise_date: 27,894 Common Units are vested and 6,974 Common Units will vest on August 10, 2020, subject to the Reporting Person's continued service with the Issuer. The Common Units have no expiration date. F5 · derivative.expiration_date: 27,894 Common Units are vested and 6,974 Common Units will vest on August 10, 2020, subject to the Reporting Person's continued service with the Issuer. The Common Units have no expiration date. Read SEC document |
| June 25, 2018 Filed Jun 25, 2018 21:32 UTC | i3 Verticals, Inc. IIIV · Entity 5604 | GrantStock Option (Right to Buy) · Derivative | 100,000 | $0.00 Strike: $13.00 | $0.00 |
DisclosureSEC source: 0001628280-18-008353 · wf-form4_152997671794674.xml · derivative · entry 2 BERTKE ROBERT · CIK 0001737502 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Class A common stock, par value $0.0001 per share · 100,000 shares Expires 2028-06-25 F2 · derivative.exercise_date: The option vests ratably in three equal annual installments beginning on the first anniversary of the grant date, subject to the Reporting Person's continued service with the Issuer. Read SEC document |
| June 25, 2018 Filed Feb 20, 2019 17:02 UTC Amendment | i3 Verticals, Inc. IIIV · Entity 5604 | OtherClass B common stock, par value $0.0001 per share | 34,868 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-011619 · doc4a.xml · nonDerivative · entry 1 BERTKE ROBERT · CIK 0001737502 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,868 F1 · date: This Amendment is provided to revise the Transaction Date in Column 2, which was initially reported as 6/25/2028 as a result of a printer error. F2 · kind: Pursuant to the Reorganization Transactions (as defined in i3 Verticals, Inc.'s (the "Issuer") Registration Statement on Form S-1, as amended (File No. 333-225214) (the "Registration Statement")) as part of the Issuer's initial public offering ("IPO"), the Reporting Person's equity ownership in i3 Verticals, LLC was converted into newly issued common units in i3 Verticals, LLC (each a "Common Unit") together with an equal number of shares of Class B common stock, par value $0.0001 per share (the "Class B Common Stock"), in the Issuer. The shares of Class B Common Stock (i) confer no incidents of economic ownership on the holders thereof, (ii) only confer voting rights on the holders thereof and (iii) may only be issued, on a one-for-one basis, to the holders of Common Units. F2 · price: Pursuant to the Reorganization Transactions (as defined in i3 Verticals, Inc.'s (the "Issuer") Registration Statement on Form S-1, as amended (File No. 333-225214) (the "Registration Statement")) as part of the Issuer's initial public offering ("IPO"), the Reporting Person's equity ownership in i3 Verticals, LLC was converted into newly issued common units in i3 Verticals, LLC (each a "Common Unit") together with an equal number of shares of Class B common stock, par value $0.0001 per share (the "Class B Common Stock"), in the Issuer. The shares of Class B Common Stock (i) confer no incidents of economic ownership on the holders thereof, (ii) only confer voting rights on the holders thereof and (iii) may only be issued, on a one-for-one basis, to the holders of Common Units. Read SEC document |
| June 20, 2018 Filed Aug 17, 2018 17:02 UTC Amendment | i3 Verticals, Inc. IIIV · Entity 5604 | GrantStock Option (Right to Buy) · Derivative | 100,000 | $0.00 Strike: $13.00 | $0.00 |
DisclosureSEC source: 0001209191-18-047428 · doc4a.xml · derivative · entry 1 BERTKE ROBERT · CIK 0001737502 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Class A common stock, par value $0.0001 per share · 100,000 shares Expires 2028-06-20 F1 · date: This Amendment is provided to revise the Transaction Date in Column 3 and the Expiration Date in Column 6. F2 · derivative.exercise_date: The option vests ratably in three equal annual installments beginning on the first anniversary of the grant date, subject to the Reporting Person's continued service with i3 Verticals, Inc. F1 · derivative.expiration_date: This Amendment is provided to revise the Transaction Date in Column 3 and the Expiration Date in Column 6. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.