0000897069-23-000437.txt : 20230515 0000897069-23-000437.hdr.sgml : 20230515 20230515164405 ACCESSION NUMBER: 0000897069-23-000437 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230420 FILED AS OF DATE: 20230515 DATE AS OF CHANGE: 20230515 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Rodgers Bruce M. CENTRAL INDEX KEY: 0001653727 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-37605 FILM NUMBER: 23923532 MAIL ADDRESS: STREET 1: 302 KNIGHTS RUN AVE., STE. 1000 CITY: TAMPA STATE: FL ZIP: 33602 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: LM FUNDING AMERICA, INC. CENTRAL INDEX KEY: 0001640384 STANDARD INDUSTRIAL CLASSIFICATION: FINANCE SERVICES [6199] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1200 WEST PLATT STREET STREET 2: SUITE 100 CITY: TAMPA STATE: FL ZIP: 33606 BUSINESS PHONE: 813-222-8996 MAIL ADDRESS: STREET 1: 1200 WEST PLATT STREET STREET 2: SUITE 100 CITY: TAMPA STATE: FL ZIP: 33606 4/A 1 form4.xml X0407 4/A 2023-04-20 2023-04-24 0001640384 LM FUNDING AMERICA, INC. LMFA 0001653727 Rodgers Bruce M. 1200 PLATT STREET SUITE 100 TAMPA FL 33606 true true Chairman, CEO and President false Common Stock 2023-04-20 4 A 0 650000 0 A 650000 D Common Stock 92487 I By CGR63, LLC Common Stock 823 I BRR Holding, LLC Common Stock 118 I Bruce M. Rodgers IRA Common Stock 40 I Carollinn Gould IRA Stock Option (right to buy) 0.751 2023-04-20 4 A 0 1000000 0 A 2033-04-20 Common Stock 1000000 1000000 D Award of restricted stock granted to reporting person under the 2021 Omnibus Incentive Plan (the "Plan"). The shares of restricted stock shall vest monthly over a period of twelve (12) months. CGR63, LLC is owned by the Bruce M. Rodgers Revocable Trust and the Carolinn Gould Revocable Trust. 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. This amendment is filed to correct the exercise price of the stock option which was originally reported as $0.714. The correct exercise price is $0.751 as set forth in this amendment. Options were granted under the Plan. Options will vest as to one-half of the option shares on April 20, 2024, and as to one-half of the option shares on April 20, 2025 subject to acceleration of vesting upon a Change of Control (as defined in the Plan) or upon the Issuer attaining certain performance milestones. /s/ Bruce M. Rodgers 2023-05-15