0001104659-23-000801.txt : 20230104 0001104659-23-000801.hdr.sgml : 20230104 20230104151334 ACCESSION NUMBER: 0001104659-23-000801 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221231 FILED AS OF DATE: 20230104 DATE AS OF CHANGE: 20230104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LIBMAN BRIAN L CENTRAL INDEX KEY: 0001356440 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40308 FILM NUMBER: 23505843 MAIL ADDRESS: STREET 1: CLAYTON HOLDINGS, INC. STREET 2: 2 CORPORATE DRIVE CITY: SHELTON STATE: CT ZIP: 06484 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Libman Family Holdings, LLC CENTRAL INDEX KEY: 0001854457 STATE OF INCORPORATION: CT FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40308 FILM NUMBER: 23505842 BUSINESS ADDRESS: STREET 1: C/O FINANCE OF AMERICA COMPANIES INC. STREET 2: 909 LAKE CAROLYN PARKWAY, SUITE 1550 CITY: IRVING STATE: TX ZIP: 75039 BUSINESS PHONE: 9728658114 MAIL ADDRESS: STREET 1: C/O FINANCE OF AMERICA COMPANIES INC. STREET 2: 909 LAKE CAROLYN PARKWAY, SUITE 1550 CITY: IRVING STATE: TX ZIP: 75039 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Finance of America Companies Inc. CENTRAL INDEX KEY: 0001828937 STANDARD INDUSTRIAL CLASSIFICATION: MORTGAGE BANKERS & LOAN CORRESPONDENTS [6162] IRS NUMBER: 853474065 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 5830 GRANITE PARKWAY STREET 2: SUITE 400 CITY: PLANO STATE: TX ZIP: 75024 BUSINESS PHONE: 877-202-2666 MAIL ADDRESS: STREET 1: 5830 GRANITE PARKWAY STREET 2: SUITE 400 CITY: PLANO STATE: TX ZIP: 75024 4 1 tm231466-1_4seq1.xml OWNERSHIP DOCUMENT X0306 4 2022-12-31 0 0001828937 Finance of America Companies Inc. FOA 0001356440 LIBMAN BRIAN L C/O FINANCE OF AMERICA COMPANIES INC., 5830 GRANITE PARKWAY, SUITE 400 PLANO TX 75024 1 0 1 0 0001854457 Libman Family Holdings, LLC C/O FINANCE OF AMERICA COMPANIES INC., 5830 GRANITE PARKWAY, SUITE 400 PLANO TX 75024 1 0 1 0 LLC Units of Finance of America Equity Capital LLC 2022-12-31 4 J 0 1823680 1.37 A Class A Common Stock 1823680 71792005 I See Footnote LLC Units of Finance of America Equity Capital LLC 2022-12-31 4 J 0 1823680 1.37 D Class A Common Stock 1823680 0 I See Footnote Pursuant to the terms of an exchange agreement, dated as of April 1, 2021, limited liability company units of Finance of America Equity Capital LLC ("FOA Units") held by the Reporting Person are exchangeable for shares of the Issuer's Class A common stock ("Class A Common Stock") on a one-for-one basis. These exchange rights do not expire. The reported transaction, which does not affect the aggregate direct and indirect beneficial ownership of Brian L. Libman and his affiliated entities in the Class A Common Stock of the Issuer, was done to simplify the ownership structure of those interests. Reflects securities held directly by Libman Family Holdings, LLC. The sole manager of Libman Family Holdings, LLC is Brian L. Libman. Reflects securities held directly by The Mortgage Opportunity Group, LLC. The sole manager of The Mortgage Opportunity Group, LLC is Brian L. Libman. Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended, the Reporting Person states that this filing shall not be an admission that the Reporting Person is the beneficial owner of any of the securities reported herein as indirectly owned, and the Reporting Person disclaims beneficial ownership of such securities except to the extent of the Reporting Person's pecuniary interest therein. /s/ Brian L. Libman 2023-01-04