0001209191-20-038371.txt : 20200623 0001209191-20-038371.hdr.sgml : 20200623 20200623113157 ACCESSION NUMBER: 0001209191-20-038371 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200622 FILED AS OF DATE: 20200623 DATE AS OF CHANGE: 20200623 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WILDS DAVID M CENTRAL INDEX KEY: 0001062406 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-VARIETY STORES [5331] STATE OF INCORPORATION: KY FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38532 FILM NUMBER: 20980986 MAIL ADDRESS: STREET 1: 40 BURTON HILLS BOULEVARD, SUITE 415 CITY: NASHVILLE STATE: TN ZIP: 37215 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: i3 Verticals, Inc. CENTRAL INDEX KEY: 0001728688 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389] IRS NUMBER: 824052852 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 40 BURTON HILLS BLVD. STREET 2: SUITE 415 CITY: NASHVILLE STATE: TN ZIP: 37215 BUSINESS PHONE: 800-203-7981 MAIL ADDRESS: STREET 1: 40 BURTON HILLS BLVD. STREET 2: SUITE 415 CITY: NASHVILLE STATE: TN ZIP: 37215 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2020-06-22 0 0001728688 i3 Verticals, Inc. IIIV 0001062406 WILDS DAVID M 40 BURTON HILLS BLVD. SUITE 415 NASHVILLE TN 37215 1 0 0 0 Class B common stock, par value $0.0001 per share 270636 D Class B common stock, par value $0.0001 per share 1086576 I By Front Street Equities, LLC Class B common stock, par value $0.0001 per share 7839 I By wife Stock Option (Right to Buy) 29.69 2020-06-22 4 A 0 10000 0.00 A 2030-06-22 Class A common stock, par value $0.0001 per share 10000 10000 D Common Units Class A common stock, par value $0.0001 per share 270636 270636 D Common Units Class A common stock, par value $0.0001 per share 1086576 1086576 I By Front Street Equities, LLC Common Units Class A common stock, par value $0.0001 per share 7839 7839 I By wife Pursuant to the Amended and Restated Certificate of Incorporation of i3 Verticals, Inc. (the "Issuer"), the shares of the Issuer's Class B common stock, par value $0.0001 per share ("Class B Common Stock") are cancelled for no consideration on a one-to-one basis upon redemption of common units in i3 Verticals, LLC (the "Common Units") for shares of Class A common stock, par value $0.0001 per share ("Class A Common Stock") of the Issuer. Reflects a pro-rata in-kind distribution by First Avenue - ETC Partners, L.P. of Common Units for no consideration. Front Street Equities, LLC is the General Partner of, and exercises voting and investment power over shares held by, First Avenue Partners II, L.P. Voting and investment decisions at Front Street Equities, LLC are made by David Wilds, who serves as (a) a limited partner and managing member of First Avenue Partners II, L.P., and (b) the sole member of Front Street Equities, LLC. Mr. Wilds disclaims beneficial ownership of these securities except to the extent of his respective pecuniary interest therein, if any, and the inclusion of these shares in his report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or any other purpose. This Form 4 shall not be deemed an admission that the Reporting Person is, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the beneficial owner of any securities held solely by the Reporting Person's spouse. The option vests ratably in three equal annual installments beginning on the first anniversary of the grant date, subject to the Reporting Person's continued service with the Issuer. The Common Units may be redeemed by the holder at any time for an equal number of shares of Class A Common Stock or, at the election of i3 Verticals, LLC, cash equal to the volume-weighted average market price of such shares. Upon the redemption of a Common Unit for Class A Common Stock, any corresponding share of Class B Common Stock will be cancelled. The Common Units have no expiration date. /s/ Paul Maple, Attorney-in-Fact for David M. Wilds 2020-06-23