0000897069-24-001190.txt : 20240528 0000897069-24-001190.hdr.sgml : 20240528 20240528165852 ACCESSION NUMBER: 0000897069-24-001190 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240523 FILED AS OF DATE: 20240528 DATE AS OF CHANGE: 20240528 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Rodgers Bruce M. CENTRAL INDEX KEY: 0001653727 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37605 FILM NUMBER: 24992781 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] ORGANIZATION NAME: 02 Finance 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 1 form4.xml X0508 4 2024-05-23 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 108333 D Common Stock 15415 I By CGR63, LLC Common Stock 137 I BRR Holding, LLC Common Stock 20 I Bruce M. Rodgers IRA Common Stock 7 I Carollinn Gould IRA Warrant 30 2024-05-23 4 P 0 86955 0.25 A 2026-10-19 Common Stock 86955 430354.83 D Stock Option (right to buy) 4.284 2033-04-20 Common Stock 166667 166667 D 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. Warrant is presently exercisable in full. 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 2024-05-28