Filing Details
- Accession Number:
- 0001209191-16-143115
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-09-29 11:54:11
- Reporting Period:
- 2016-09-27
- Filing Date:
- 2016-09-29
- Accepted Time:
- 2016-09-29 11:54:11
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1640384 | Lm Funding America Inc. | LMFA | Finance Services (6199) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1653728 | Carollinn Gould | 302 Knights Run Ave., Suite #1000 Tampa FL 33602 | Vice President | Yes | Yes | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2016-09-27 | 504 | $8.03 | 5,704 | No | 4 | P | Indirect | By Spouse Bruce M. Rodgers IRA |
| Common Stock | Acquisiton | 2016-09-28 | 196 | $8.11 | 5,900 | No | 4 | P | Indirect | By Spouse Bruce M. Rodgers IRA |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | By Spouse Bruce M. Rodgers IRA |
| No | 4 | P | Indirect | By Spouse Bruce M. Rodgers IRA |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 2,191,244 | Indirect | By CGR63, LLC |
| Common Stock | 42,676 | Indirect | By BRR Holding, LLC |
| Common Stock | 1,000 | Indirect | By Carollinn Gould IRA |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrants | $12.50 | 2020-10-31 | 132,420 | 132,420 | Indirect | |
| Common Stock | Warrants | $12.50 | 2020-10-31 | 1,500 | 1,500 | Indirect | |
| Common Stock | Warrants | $12.50 | 2020-10-31 | 3,900 | 3,900 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2020-10-31 | 132,420 | 132,420 | Indirect |
| 2020-10-31 | 1,500 | 1,500 | Indirect |
| 2020-10-31 | 3,900 | 3,900 | Indirect |
Footnotes
- Bruce M. Rogers and Carollinn Gould, husband and wife, and their family, including trusts or custodial accounts of minor children of each of Mr. Rodgers and Ms. Gould, own 100% of the outstanding membership interests of CGR63, LLC. The reporting person disclaims beneficial ownership of these shares except to the extent of the reporting person's pecuniary interest in the shares.
- Bruce M. Rogers and Carollinn Gould, husband and wife, and their family, including trusts or custodial accounts of minor children of each of Mr. Rodgers and Ms. Gould, own 100% of the outstanding membership interests of BRR Holding, LLC. The reporting person disclaims beneficial ownership of these shares except to the extent of the reporting person's pecuniary interest in the shares.
- Immediately Exercisable
Billionaire Hedge Funds
