0001209191-20-050469.txt : 20200915 0001209191-20-050469.hdr.sgml : 20200915 20200915163534 ACCESSION NUMBER: 0001209191-20-050469 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200915 FILED AS OF DATE: 20200915 DATE AS OF CHANGE: 20200915 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HARRISON JOHN C. CENTRAL INDEX KEY: 0001738150 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38532 FILM NUMBER: 201176350 MAIL ADDRESS: STREET 1: 40 BURTON HILLS BOULEVARD, SUITE 415 CITY: NASHVILLE STATE: TN ZIP: 37215 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: i3 Verticals, Inc. CENTRAL INDEX KEY: 0001728688 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389] IRS NUMBER: 824052852 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 40 BURTON HILLS BLVD. STREET 2: SUITE 415 CITY: NASHVILLE STATE: TN ZIP: 37215 BUSINESS PHONE: 800-203-7981 MAIL ADDRESS: STREET 1: 40 BURTON HILLS BLVD. STREET 2: SUITE 415 CITY: NASHVILLE STATE: TN ZIP: 37215 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2020-09-15 0 0001728688 i3 Verticals, Inc. IIIV 0001738150 HARRISON JOHN C. 40 BURTON HILLS BLVD. SUITE 415 NASHVILLE TN 37215 1 0 0 0 Class B common stock, par value $0.0001 per share 2020-09-15 4 D 0 138066 D 561606 I By HMP III Equity Holdings, LLC Common Units 2020-09-15 4 D 0 138066 22.33 D Class A common stock, par value $0.0001 per share 138066 561606 I By HMP III Equity Holdings, LLC Pursuant to the Amended and Restated Certificate of Incorporation of i3 Verticals, Inc. (the "Issuer"), the shares of the Issuer's Class B common stock, par value $0.0001 per share ("Class B Common Stock") are cancelled for no consideration on a one-to-one basis upon redemption of common units in i3 Verticals, LLC (the "Common Units") for shares of Class A common stock, par value $0.0001 per share ("Class A Common Stock") of the Issuer. Represents shares of Class B Common Stock held by HMP III Equity Holdings, LLC ("HMPEH"). Decisions regarding the voting or disposition of the shares held by the foregoing are made by an investment committee or committees (or authorized sub-committees or designees thereof), of which the Reporting Person is a member. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein. The Common Units may be redeemed by the holder at any time for an equal number of shares of Class A Common Stock or, at the election of i3 Verticals, LLC, cash equal to the volume-weighted average market price of such shares. Upon the redemption of a Common Unit for Class A Common Stock, any corresponding share of Class B Common Stock will be cancelled. The Common Units have no expiration date. Represents the sale of Common Units to the Issuer pursuant to the Common Unit Purchase Agreement entered into in connection with the Issuer's offering of Class A common stock which closed on September 15, 2020, pursuant to the Limited Liability Company Agreement of i3 Verticals, LLC and in accordance with the Registration Rights Agreement among the Issuer and the signatories thereto, including the reporting persons. Represents Common Units held by HMPEH. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein. /s/ Paul Maple, Attorney-in-Fact for John C. Harrison 2020-09-15