SPG GP, LLC - 06 Mar 2025 Form 4 Insider Report for Velocity Financial, Inc. (VEL)

Signature
See Exhibit 99.1 for Signatures
Issuer symbol
VEL
Transactions as of
06 Mar 2025
Transactions value $
$0
Form type
4
Filing time
10 Mar 2025, 19:44:03 UTC
Previous filing
12 Oct 2021
Next filing
31 Mar 2025

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction VEL Private Placement Warrant Disposed to Issuer -892,777 -100% 0 06 Mar 2025 Common Stock 892,777 $2.96 Notes F1, F2, F3, F5, F6, F7
transaction VEL Private Placement Warrant Award +892,777 892,777 06 Mar 2025 Common Stock 892,777 $2.96 Notes F1, F2, F3, F5, F6, F7
transaction VEL Private Placement Warrant Disposed to Issuer -446,389 -100% 0 06 Mar 2025 Common Stock 446,389 $4.94 Notes F1, F2, F4, F5, F6, F7
transaction VEL Private Placement Warrant Award +446,389 446,389 06 Mar 2025 Common Stock 446,389 $4.94 Notes F1, F2, F4, F5, F6, F7
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 On March 6, 2025, the Issuer amended each Private Placement Warrant ("Warrant") held by each of Snow Phipps Group AIV, L.P. ("SPG AIV"), Snow Phipps Group AIV (Offshore), L.P. ("SPG AIV Offshore"), and Snow Phipps Group (RPV), L.P. ("SPG RPV") (collectively, the "Warrantholders") to extend the existing expiration date for the exercise of the Warrants from April 7, 2025, to May 7, 2025.
F2 This Form 4 is being filed by and behalf of: each of the Warrantholders; SPG GP, LLC, the general partner of each of the Warrantholders ("SPG GP"); and Ian K. Snow, who serves as the managing member of SPG GP (collectively, the "Reporting Persons").
F3 Represents in the aggregate directly held warrants to purchase a number of shares of Common Stock, as follows: 841,408 shares by SPG AIV; 7,554 shares by SPG AIV Offshore; and 43,815 shares by SPG RPV.
F4 Represents in the aggregate directly held warrants to purchase a number of shares of Common Stock, as follows: 420,704 shares by SPG AIV; 3,777 shares by SPG AIV Offshore; 21,908 shares by SPG RPV.
F5 The exercise price and the number of shares of Common Stock issuable upon exercise of the Warrants are subject to adjustment, as set forth in the Warrants.
F6 Not applicable.
F7 Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of such Reporting Person's pecuniary interest, and this reports shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended ("Section 16"), or for any other purpose. Messrs. John Pless and Alan Mantel, each a partner of SPG GP and/or one of its affiliates, were appointed to the board of directors of the Issuer as a representative of the Reporting Persons. Solely for purposes of Section 16, the Reporting Persons are deemed directors-by-deputization. Information with respect to each Reporting Person is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person.

Remarks:

Exhibit 99.1 (Signatures and Joint Filer Information) is incorporated herein by reference.