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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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
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 (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Warrant | $ 11.5 | 04/01/2021 | J | 7,750,000 (1) | 05/01/2021 | 04/01/2026 | Ordinary Shares | 7,750,000 | (1) | 0 | I | See footnote (3) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
WERTHEIN GREGORIO 767 FIFTH AVENUE, 46TH FLOOR NEW YORK, NY 10153 |
X | Co-Chief Executive Officer |
/s/ Alan I. Annex, Attorney-in-Fact | 04/06/2021 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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) | 775,000 Ordinary Shares were acquired by Replay Sponsor, LLC (the "Sponsor") in exchange for the cancellation of the 7,750,000 private placement warrants purchased by the Sponsor in connection with Replay Acquisition Corp.'s (the "Issuer") initial public offering. |
(2) | Represents Ordinary Shares of the Issuer that converted on a one-for-one basis into shares of Class A Common Stock of Finance of America Companies Inc. ("New Pubco") through a series of transactions in connection with the business combination (the "Business Combination") of the Issuer and Finance of America Equity Capital LLC ("FoA"), pursuant to that certain Transaction Agreement, as amended, dated as of October 12, 2020, by and among the Issuer, FoA, New Pubco and the other entities party thereto. |
(3) | The securities are held directly by the Sponsor and indirectly by Edmond Safra and Gregorio Werthein as managers of the Sponsor. Each of Messrs. Safra and Werthein disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. |