10/25/2024 | Press release | Distributed by Public on 10/25/2024 18:01
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 | |
210 Capital, LLC C/O P10, INC. 4514 COLE AVENUE, SUITE 1600 DALLAS, TX75205 |
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See Remarks |
Alpert Robert H 4514 COLE AVENUE, SUITE 1600 DALLAS, TX75205 |
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See Remarks |
Webb C Clark 4514 COLE AVENUE, SUITE 1600 DALLAS, TX75205 |
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See Remarks |
COVENANT RHA PARTNERS, L.P. 4514 COLE AVENUE, SUITE 1600 DALLAS, TX75205 |
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See Remarks |
CCW/LAW Holdings, LLC 4514 COLE AVENUE, SUITE 1600 DALLAS, TX75205 |
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See Remarks |
RHA Investments, Inc. 4514 COLE AVENUE, SUITE 1600 DALLAS, TX75205 |
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See Remarks |
/s/C. Clark Webb, as Attorney-in-Fact for the Reporting Persons | 2024-10-25 |
**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) | This Form 4 is being filed by: (i) 210 Capital, LLC ("210 Capital"), in its capacity as the sole member of 210/P10 Acquisition Partners, LLC, the direct holder of shares of Class B Common Stock ("210/P10"); (ii) Covenant RHA Partners, L.P. ("RHA Partners"), in its capacity as member of 210 Capital; (iii) CCW/LAW Holdings, LLC ("CCW Holdings"), in its capacity as member of 210 Capital; (iv) Mr. Webb, individually and in his capacity as sole member of CCW Holdings, and in his capacity as Executive Vice Chairman and a director of the Issuer; (v) RHA Investments, Inc. ("RHA Investments"), in its capacity as general partner of RHA Partners; and (vi) Mr. Alpert, individually and in his capacity as President and sole shareholder of RHA Investments, and in his capacity as a director of the Issuer (collectively, the "Reporting Persons"). |
(2) | (Continued from footnote 1) Each Reporting Person disclaims beneficial ownership of the securities of the Issuer reported herein, except to the extent of his or its pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that such persons are beneficial owners of the securities of the Issuer reported herein. |
(3) | Each restricted stock unit ("RSU") represents a right to receive one share of the Issuer's Class A Common Stock upon vesting. |
(4) | These securities are owned directly by Mr. Webb. |
(5) | These securities are owned directly by Mr. Alpert. |
(6) | These securities are owned directly by 210/P10. By virtue of their relationship with 210/P10 described in Footnote 1, each Reporting Person may be deemed to beneficially own the securities of the Issuer owned directly by 210/P10. |
(7) | Pursuant to the terms of his Executive Transition Agreement, dated October 20, 2023 (the "Transition Agreement"), Mr. Webb was previously granted (i) 107,527 RSUs on October 23, 2023; (ii) 97,848 RSUs on January 2, 2024; (iii) 118,765 RSUs on April 1, 2024; and (iv) 117,924 RSUs on July 1, 2024. In connection with the termination of the Transition Agreement effective October 23, 2024, all 442,064 of such RSUs vested on such date. |