0000899243-23-010452.txt : 20230404 0000899243-23-010452.hdr.sgml : 20230404 20230404173257 ACCESSION NUMBER: 0000899243-23-010452 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230331 FILED AS OF DATE: 20230404 DATE AS OF CHANGE: 20230404 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Blackstone Holdings I/II GP L.L.C. CENTRAL INDEX KEY: 0001464695 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40308 FILM NUMBER: 23799714 BUSINESS ADDRESS: STREET 1: C/O BLACKSTONE INC. STREET 2: 345 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10154 BUSINESS PHONE: 2125835000 MAIL ADDRESS: STREET 1: C/O BLACKSTONE INC. STREET 2: 345 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10154 FORMER NAME: FORMER CONFORMED NAME: Blackstone Holdings I/II GP Inc DATE OF NAME CHANGE: 20090521 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Blackstone Holdings II L.P. CENTRAL INDEX KEY: 0001484870 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40308 FILM NUMBER: 23799715 BUSINESS ADDRESS: STREET 1: C/O BLACKSTONE INC. STREET 2: 345 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10154 BUSINESS PHONE: 212-583-5000 MAIL ADDRESS: STREET 1: C/O BLACKSTONE INC. STREET 2: 345 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10154 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BTOA L.L.C. CENTRAL INDEX KEY: 0001575478 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40308 FILM NUMBER: 23799716 BUSINESS ADDRESS: STREET 1: C/O BLACKSTONE INC. STREET 2: 345 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10154 BUSINESS PHONE: 212-583-5000 MAIL ADDRESS: STREET 1: C/O BLACKSTONE INC. STREET 2: 345 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10154 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Blackstone Tactical Opportunities Associates L.L.C. CENTRAL INDEX KEY: 0001660520 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40308 FILM NUMBER: 23799717 BUSINESS ADDRESS: STREET 1: C/O BLACKSTONE INC. STREET 2: 345 PARK AVE. CITY: NEW YORK STATE: NY ZIP: 10154 BUSINESS PHONE: 212-583-5000 MAIL ADDRESS: STREET 1: C/O BLACKSTONE INC. STREET 2: 345 PARK AVE. CITY: NEW YORK STATE: NY ZIP: 10154 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BTO Urban Holdings II L.P. CENTRAL INDEX KEY: 0001853533 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40308 FILM NUMBER: 23799720 BUSINESS ADDRESS: STREET 1: C/O BLACKSTONE INC. STREET 2: 345 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10154 BUSINESS PHONE: 212-583-5000 MAIL ADDRESS: STREET 1: C/O BLACKSTONE INC. STREET 2: 345 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10154 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BTOA - NQ L.L.C. CENTRAL INDEX KEY: 0001844866 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40308 FILM NUMBER: 23799721 BUSINESS ADDRESS: STREET 1: C/O BLACKSTONE INC. STREET 2: 345 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10154 BUSINESS PHONE: (212) 583 5000 MAIL ADDRESS: STREET 1: C/O BLACKSTONE INC. STREET 2: 345 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10154 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Blackstone Tactical Opportunities Associates - NQ L.L.C. CENTRAL INDEX KEY: 0001844883 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40308 FILM NUMBER: 23799722 BUSINESS ADDRESS: STREET 1: C/O BLACKSTONE INC. STREET 2: 345 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10154 BUSINESS PHONE: (212) 583 5000 MAIL ADDRESS: STREET 1: C/O BLACKSTONE INC. STREET 2: 345 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10154 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Blackstone Family Tactical Opportunities Investment Partnership NQ - ESC L.P. CENTRAL INDEX KEY: 0001853361 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40308 FILM NUMBER: 23799718 BUSINESS ADDRESS: STREET 1: C/O BLACKSTONE INC. STREET 2: 345 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10154 BUSINESS PHONE: 212-583-5000 MAIL ADDRESS: STREET 1: C/O BLACKSTONE INC. STREET 2: 345 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10154 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BTO - NQ Side-by-Side GP L.L.C. CENTRAL INDEX KEY: 0001853625 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40308 FILM NUMBER: 23799719 BUSINESS ADDRESS: STREET 1: C/O BLACKSTONE INC. STREET 2: 345 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10154 BUSINESS PHONE: 212-583-5000 MAIL ADDRESS: STREET 1: C/O BLACKSTONE INC. STREET 2: 345 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10154 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 doc4.xml FORM 4 SUBMISSION X0407 4 2023-03-31 0 0001828937 Finance of America Companies Inc. FOA 0001844883 Blackstone Tactical Opportunities Associates - NQ L.L.C. C/O BLACKSTONE INC. 345 PARK AVENUE NEW YORK NY 10154 0 0 1 0 0001844866 BTOA - NQ L.L.C. C/O BLACKSTONE INC. 345 PARK AVENUE NEW YORK NY 10154 0 0 1 0 0001853533 BTO Urban Holdings II L.P. C/O BLACKSTONE INC. 345 PARK AVENUE NEW YORK NY 10154 0 0 1 0 0001853625 BTO - NQ Side-by-Side GP L.L.C. C/O BLACKSTONE INC. 345 PARK AVENUE NEW YORK NY 10154 0 0 1 0 0001853361 Blackstone Family Tactical Opportunities Investment Partnership NQ - ESC L.P. C/O BLACKSTONE INC. 345 PARK AVENUE NEW YORK NY 10154 0 0 1 0 0001660520 Blackstone Tactical Opportunities Associates L.L.C. C/O BLACKSTONE INC. 345 PARK AVENUE NEW YORK NY 10154 0 0 1 0 0001575478 BTOA L.L.C. C/O BLACKSTONE INC. 345 PARK AVENUE NEW YORK NY 10154 0 0 1 0 0001484870 Blackstone Holdings II L.P. C/O BLACKSTONE INC. 345 PARK AVENUE NEW YORK NY 10154 0 0 1 0 0001464695 Blackstone Holdings I/II GP L.L.C. C/O BLACKSTONE INC. 345 PARK AVENUE NEW YORK NY 10154 0 0 1 0 0 Class A Common Stock 2023-03-31 4 P 0 7717103 1.38 A 7717103 I See Footnotes Class A Common Stock 2023-03-31 4 P 0 3109235 1.38 A 24727216 I See Footnotes Class A Common Stock 2023-03-31 4 P 0 43228 1.38 A 43228 I See Footnotes Class A Common Stock 2023-04-03 4 C 0 777935 A 8495038 I See Footnotes Class A Common Stock 2023-04-03 4 J 0 777935 0.00 D 7717103 I See Footnotes Class A Common Stock 2023-04-03 4 C 0 4466 A 47694 I See Footnotes Class A Common Stock 2023-04-03 4 J 0 4466 0.00 D 43228 I See Footnotes Class A Common Stock 2023-04-03 4 J 0 340506 0.00 D 24386710 I See Footnotes LLC Units of Finance of America Equity Capital LLC 2023-04-03 4 C 0 777935 0.00 D Class A Common Stock 777935 48611415 I See Footnotes LLC Units of Finance of America Equity Capital LLC 2023-04-03 4 C 0 4466 0.00 D Class A Common Stock 4466 279055 I See Footnotes On March 31, 2023, BTO Urban Holdings L.L.C., BTO Urban Holdings II L.P., and Blackstone Family Tactical Opportunities Investment - NQ - ESC L.P. (the "Purchaser Entities") purchased the reported shares of Class A common stock ("Class A Common Stock"), pursuant to the terms and conditions of the Stock Purchase Agreement, dated as of December 6, 2022, between the Issuer and the Purchaser Entities. 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 Persons are exchangeable for shares of the Issuer's Class A Common Stock on a one-for-one basis. These exchange rights do not expire. Pursuant to the LTIP Award Settlement Agreement (the "LTIP Award Settlement Agreement"), dated as of October 12, 2020, by and among the Issuer, the Reporting Persons or certain of their affiliates and certain other equityholders of the Issuer and Finance of America Equity Capital LLC, such equityholders are obligated to deliver a number of shares of Class A Common Stock to the Issuer in connection with the settlement of awards of restricted stock units granted by the Issuer. On April 3, 2023, in connection with the Issuer's settlement of restricted stock units into shares of Class A Common Stock, certain Reporting Persons delivered certain shares of Class A Common Stock to the Issuer pursuant to the LTIP Award Settlement Agreement. Reflects securities directly held by BTO Urban Holdings L.L.C. Reflects securities directly held by Blackstone Family Tactical Opportunities Investment Partnership - NQ - ESC L.P. Reflects securities directly held by BTO Urban Holdings II L.P. BTO Urban Holdings L.L.C. is owned by Blackstone Tactical Opportunities Fund - NQ L.P., Blackstone Tactical Opportunities Fund II - NQ L.P., Blackstone Tactical Opportunities Fund - A (RA) - NQ L.P., Blackstone Tactical Opportunities Fund - I - NQ L.P., Blackstone Tactical Opportunities Fund - S - NQ L.P., Blackstone Tactical Opportunities Fund - C - NQ L.P., Blackstone Tactical Opportunities Fund - L - NQ L.P., Blackstone Tactical Opportunities Fund - O - NQ L.P., Blackstone Tactical Opportunities Fund - N - NQ L.P., Blackstone Tactical Opportunities Fund - U - NQ L.L.C., Blackstone Tactical Opportunities Fund II - C - NQ L.P., Blackstone Tactical Opportunities Fund - T - NQ L.P. (collectively, each of the Blackstone Tactical Opportunities Funds described in this paragraph shall be referred to as the "Blackstone Tactical Opportunities Funds"), (continued in footnote (8)), BTAS NQ Holdings L.L.C. and Blackstone Family Tactical Opportunities Investment Partnership SMD L.P. The general partner of each of the Blackstone Tactical Opportunities Funds is Blackstone Tactical Opportunities Associates - NQ L.L.C. The sole member of Blackstone Tactical Opportunities Associates - NQ L.L.C. is BTOA - NQ L.L.C. The managing member of BTOA - NQ LLC is Blackstone Holdings II L.P. The managing member of BTAS NQ Holdings L.L.C. is BTAS Associates - NQ L.L.C. The managing member of BTAS Associates - NQ L.L.C. is Blackstone Holdings II L.P. The general partner of Blackstone Family Tactical Opportunities Investment Partnership SMD L.P. is Blackstone Family GP L.L.C. Blackstone Family GP L.L.C. is wholly owned by Blackstone's senior managing directors and controlled by its founder, Mr. Schwarzman. The general partner of Blackstone Family Tactical Opportunities Investment Partnership - NQ - ESC L.P. is BTO-NQ Side-by-Side GP L.L.C. The sole member of BTO-NQ Side-by-Side GP L.L.C. is Blackstone Holdings II L.P. The general partner of BTO Urban Holdings II L.P. is Blackstone Tactical Opportunities Associates L.L.C. The managing member of Blackstone Tactical Opportunities Associates L.L.C. is BTOA L.L.C. The managing member of BTOA L.L.C. is Blackstone Holdings III L.P. Blackstone Holdings III GP L.P. is the general partner of Blackstone Holdings III L.P. Blackstone Holdings III GP Management L.L.C. is the general partner of Blackstone Holdings III GP L.P. The general partner of Blackstone Holdings II L.P. is Blackstone Holdings I/II GP L.L.C. Blackstone Inc. is the sole member of each of Blackstone Holdings I/II GP L.L.C. and Blackstone Holdings III GP Management L.L.C. The sole holder of the Series II preferred stock of Blackstone Inc. is Blackstone Group Management L.L.C. Blackstone Group Management L.L.C. is wholly-owned by Blackstone's senior managing directors and controlled by its founder, Stephen A. Schwarzman. Due to the limitations of the electronic filing system certain Reporting Persons are filing a separate Form 4. Information with respect to each of the Reporting Persons 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. Each of the Reporting Persons (other than to the extent it directly holds securities reported herein) disclaims beneficial ownership of the securities held by the other Reporting Persons, except to the extent of such Reporting Person's pecuniary interest therein, and, pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, each of the Reporting Persons (other than to the extent it directly holds securities reported herein) states that the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose. BLACKSTONE FAMILY TACTICAL OPPORTUNITIES INVESTMENT PARTNERSHIP - NQ - ESC L.P., By: BTO-NQ Side-by-Side GP L.L.C., By: /s/ Christopher J. James, Name: Christopher J. James, Title: Chief Operating Officer 2023-04-04 BTO-NQ SIDE-BY-SIDE GP L.L.C., By: /s/ Christopher J. James, Name: Christopher J. James, Title: Chief Operating Officer 2023-04-04 BTO URBAN HOLDINGS II L.P., By: Blackstone Tactical Opportunities Associates LLC, its general partner, By: BTOA L.L.C., its sole member, By: /s/ Christopher J. James, Name: Christopher J. James, Title: Chief Operating Officer 2023-04-04 BLACKSTONE TACTICAL OPPORTUNITIES ASSOCIATES L.L.C., By: BTOA L.L.C., its sole member, By: /s/ Christopher J. James, Name: Christopher J. James, Title: Chief Operating Officer 2023-04-04 BTOA L.L.C., By: /s/ Christopher J. James, Name: Christopher J. James, Title: Chief Operating Officer 2023-04-04 BLACKSTONE TACTICAL OPPORTUNITIES ASSOCIATES - NQ L.L.C., By: BTOA-NQ L.L.C., its sole member, By: /s/ Christopher J. James, Name: Christopher J. James, Title: Chief Operating Officer 2023-04-04 BTOA - NQ L.L.C., By: /s/ Christopher J. James, Name: Christopher J. James, Title: Chief Operating Officer 2023-04-04 BLACKSTONE HOLDINGS II L.P., By: Blackstone Holdings I/II GP L.L.C., its general partner, By: /s/ Tabea Hsi, Name: Tabea Hsi, Title: Senior Managing Director 2023-04-04 BLACKSTONE HOLDINGS I/II GP L.L.C., By: /s/ Tabea Hsi, Name: Tabea Hsi, Title: Senior Managing Director 2023-04-04