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