07/02/2024 | Press release | Distributed by Public on 07/02/2024 15:00
FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Title of Derivate Security | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security | 8. Price of Derivative Security | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) | 11. Nature of Indirect Beneficial Ownership |
Code | V | (A) | (D) | Date Exercisable | Expriation Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Apex Holdco L.P. 767 5TH AVENUE, 23RD FLOOR NEW YORK, NY10153 |
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Apex Holdco GP LLC C/O J. C. FLOWERS & CO. 767 5TH AVENUE, 23TH FLOOR NEW YORK, NY10153 |
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JCF Associates IV L.P. C/O J. C. FLOWERS & CO. 767 5TH AVENUE, 23TH FLOOR NEW YORK, NY10153 |
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JCF Associates IV Ltd. C/O J. C. FLOWERS & CO. 767 5TH AVENUE, 23TH FLOOR NEW YORK, NY10153 |
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Flowers J. Christopher C/O J. C. FLOWERS & CO. 767 5TH AVENUE, 23TH FLOOR NEW YORK, NY10153 |
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Signatures Included in Exhibit 99.1 | 2024-07-02 |
**Signature of Reporting Person | Date |
(*) | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
(**) | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The Issuer was acquired by a subsidiary of iA Financial Corporation, Inc. in accordance with an Agreement and Plan of Merger dated as of October 3, 2023, whereby each share of Common Stock outstanding (subject to certain exceptions) was converted into the right to receive $11.43 in cash. |