Filing Details
- Accession Number:
- 0001821850-23-000052
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-06-23 16:49:09
- Reporting Period:
- 2022-10-03
- Accepted Time:
- 2023-06-23 16:49:09
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1821850 | Sunlight Financial Holdings Inc. | SUNL | Finance Services (6199) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1869195 | Matthew Potere | C/O Sunlight Financial Holdings Inc. 101 N. Tryon Street, Suite 1000 Charlotte NC 28246 | Chief Executive Officer | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Acquisiton | 2022-10-03 | 3,760 | $2.66 | 1,422,621 | No | 5 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 5 | P | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Private Units | $0.00 | 2,983,960 | 3,510,541 | Direct | ||
| Class A Common Stock | Private Units | $0.00 | 526,581 | 3,510,541 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2,983,960 | 3,510,541 | Direct | |
| 526,581 | 3,510,541 | Indirect |
Footnotes
- Represents shares purchased through payroll deductions under Sunlight Financial Holdings Inc.'s employee stock purchase plan.
- The reporting person received these Private Units on July 9, 2021, pursuant to the Business Combination Agreement, dated as of January 23, 2021 by and among Spartan Acquisition Corp. II ("Spartan"), Sunlight Financial LLC ("SFLLC"), and certain of their respective affiliates and subsidiaries. Each Private Unit consists of a Class EX Unit issued by SFLLC, together with one share of Class C Common Stock issued by the Company. Each Private Unit is exchangeable, subject to certain conditions, for either one share of Class A Common Stock, or at SFLLC's election, an amount of cash equivalent to the market value of one share of Class A Common Stock, pursuant to and in accordance with the terms of the Fifth Amended and Restated Limited Liability Company Agreement of SFLCC. The Class C Common Stock will vote together with the Class A Common Stock as a single class, but will have no economic rights. These exchange rights do not expire.
- The reporting person disclaims beneficial ownership, except to the extent of his pecuniary interest therein.
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