0001104659-22-125866.txt : 20221209 0001104659-22-125866.hdr.sgml : 20221209 20221209161932 ACCESSION NUMBER: 0001104659-22-125866 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221207 FILED AS OF DATE: 20221209 DATE AS OF CHANGE: 20221209 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kodialam Rajini Sundar CENTRAL INDEX KEY: 0001746246 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38604 FILM NUMBER: 221455024 MAIL ADDRESS: STREET 1: C/O FOCUS FINANCIAL PARTNERS, INC. STREET 2: 825 THIRD AVENUE, 27TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Focus Financial Partners Inc. CENTRAL INDEX KEY: 0001651052 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 474780811 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 875 THIRD AVENUE STREET 2: 28TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: (646)519-2456 MAIL ADDRESS: STREET 1: 875 THIRD AVENUE STREET 2: 28TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 4 1 tm2232241-3_4seq1.xml OWNERSHIP DOCUMENT X0306 4 2022-12-07 0 0001651052 Focus Financial Partners Inc. FOCS 0001746246 Kodialam Rajini Sundar 875 THIRD AVENUE, 28TH FLOOR NEW YORK NY 10022 1 1 0 0 Chief Operating Officer Common Units in Focus Financial Partners, LLC 2022-12-07 4 F 0 512 36.75 D Class A Common Stock 512 7379 D Common Units in Focus Financial Partners, LLC Class A Common Stock 19371 19371 D As previously reported, on December 7, 2020, the Reporting Person acquired 8,403 unvested common units that vest in four equal installments on each anniversary of December 7, 2020. Vested common units are exchangeable (together with an equal number of shares of Class B common stock), subject to certain restrictions in the Fourth Amended and Restated Operating Agreement of Focus Financial Partners, LLC ("Focus LLC"), for (i) an equal number of shares of the Issuer's Class A common stock or, (ii) at the election of the Issuer, cash. On December 7, 2022, 2,101 of the Reporting Person's unvested common units vested and 512 of such common units were withheld by the Issuer to satisfy the tax obligations upon vesting. The number of common units withheld was based on the closing price of the Issuer's Class A common stock on December 6, 2022. As of the date of this report, 3,178 of these common units are vested and 4,201 of these common units are unvested. Vested common units are exchangeable (together with an equal number of shares of Class B common stock), subject to certain restrictions in the Fourth Amended and Restated Operating Agreement of Focus LLC, for (i) an equal number of shares of the Issuer's Class A common stock or, (ii) at the election of the Issuer, cash. These common units will vest in four equal installments on each anniversary of December 22, 2021. /s/ J. Russell McGranahan as Attorney-in-Fact 2022-12-09