0001104659-22-129539.txt : 20221222 0001104659-22-129539.hdr.sgml : 20221222 20221222163003 ACCESSION NUMBER: 0001104659-22-129539 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221222 FILED AS OF DATE: 20221222 DATE AS OF CHANGE: 20221222 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: McGranahan John Russell CENTRAL INDEX KEY: 0001796907 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38604 FILM NUMBER: 221482291 MAIL ADDRESS: STREET 1: 875 THIRD AVENUE STREET 2: 28TH 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 tm2233385-4_4seq1.xml OWNERSHIP DOCUMENT X0306 4 2022-12-22 0 0001651052 Focus Financial Partners Inc. FOCS 0001796907 McGranahan John Russell 515 NORTH FLAGLER DRIVE WEST PALM BEACH FL 33401 0 1 0 0 General Counsel Common Units in Focus Financial Partners, LLC 2022-12-22 4 F 0 757 37.71 D Class A Common Stock 757 11674 D Common Units in Focus Financial Partners, LLC Class A Common Stock 100 100 D Common Units in Focus Financial Partners, LLC Class A Common Stock 4210 4210 D Common Units in Focus Financial Partners, LLC Class A Common Stock 11306 11306 D As previously reported, on December 22, 2021, the Reporting Person acquired 12,431 unvested common units that vest in four equal installments on each anniversary of December 22, 2021. 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 22, 2022, 3,108 of the Reporting Person's unvested common units vested and 757 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 21, 2022. As of the date of this report, 2,351 of these common units are vested and 9,323 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 7, 2020. As of the date of this report, 1,683 of these common units are vested and 2,527 of these common units are unvested. These common units will vest in four equal installments on each anniversary of December 12, 2022. /s/ J. Russell McGranahan 2022-12-22