Carollinn Gould - Dec 29, 2022 Form 4 Insider Report for LM FUNDING AMERICA, INC. (LMFA)

Role
Director, 10%+ Owner
Signature
/s/ Carollinn Gould
Stock symbol
LMFA
Transactions as of
Dec 29, 2022
Transactions value $
$0
Form type
4
Date filed
1/3/2023, 04:22 PM
Previous filing
Nov 1, 2021
Next filing
Aug 28, 2025
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding LMFA Common Stock 21.9K Dec 29, 2022 Carollinn Gould Revocable Trust
holding LMFA Common Stock 21.9K Dec 29, 2022 Bruce M. Rodgers Revocable Trust
holding LMFA Common Stock 853 Dec 29, 2022 BRR Holding, LLC F1
holding LMFA Common Stock 20 Dec 29, 2022 Carollinn Gould IRA
holding LMFA Common Stock 232 Dec 29, 2022 Bruce M. Rodgers IRA

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 LMFA Stock Option (right to buy) Award $0 +112K $0.00 112K Dec 29, 2022 Common Stock 112K $0.59 Direct F3
holding LMFA Stock Option (right to buy) 10.1K Dec 29, 2022 Common Stock 10.1K $5.95 Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Bruce M. Rogers and Carollinn Gould, husband and wife, and their family, including trusts or custodial accounts of minor children of each of Mr. Rodgers and Ms. Gould, own 100% of the outstanding membership interests of BRR Holding, LLC. The reporting person disclaims beneficial ownership of these shares except to the extent of the reporting person's pecuniary interest in the shares.
F2 Options were granted under the LM Funding America, Inc. 2021 Omnibus Incentive Plan. These options are fully vested as of the date of this Form 4.
F3 Option awards to purchase shares of common stock were granted under the Non-Employee Director Compensation Plan, as amended on November 18, 2022 (the "Plan"). Shares subject to the options will vest as to one-half on the 180th day after the grant date and as to one-half on the date that is the first anniversary of the grant date. Unvested awards will become fully vested upon a Change of Control, as that term is used in the Plan.