0001209191-21-020955.txt : 20210316 0001209191-21-020955.hdr.sgml : 20210316 20210316173022 ACCESSION NUMBER: 0001209191-21-020955 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210315 FILED AS OF DATE: 20210316 DATE AS OF CHANGE: 20210316 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: 21747211 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 2021-03-15 0 0001728688 i3 Verticals, Inc. IIIV 0001738150 HARRISON JOHN C. 40 BURTON HILLS BLVD. SUITE 415 NASHVILLE TN 37215 1 0 0 0 Class A common stock, par value $0.0001 per share 2021-03-15 4 C 0 200000 A 200000 I By HMP III Equity Holdings, LLC Class A common stock, par value $0.0001 per share 2021-03-15 4 S 0 200000 32.83 D 0 I By HMP III Equity Holdings, LLC Class B common stock, par value $0.0001 per share 2021-03-15 4 J 0 200000 D 81606 I By HMP III Equity Holdings, LLC Common Units 2021-03-15 4 C 0 200000 D Class A common stock, par value $0.0001 per share 200000 81606 I By HMP III Equity Holdings, LLC Represents shares of Class A common stock, par value $0.0001 per share ("Class A Common Stock") of i3 Verticals, Inc. (the "Issuer") that were obtained upon a redemption of an equal number of common units in i3 Verticals, LLC (the "Common Units"). Represents shares of Class A 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. Pursuant to the Amended and Restated Certificate of Incorporation of 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 the Common Units for shares of Class A Common Stock of the Issuer. Represents shares of Class B Common Stock held by HMPEH. 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 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 2021-03-16