0001209191-21-066452.txt : 20211123 0001209191-21-066452.hdr.sgml : 20211123 20211123163625 ACCESSION NUMBER: 0001209191-21-066452 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211122 FILED AS OF DATE: 20211123 DATE AS OF CHANGE: 20211123 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: STANFORD FREDERICK CENTRAL INDEX KEY: 0001737443 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38532 FILM NUMBER: 211439013 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 2021-11-22 0 0001728688 i3 Verticals, Inc. IIIV 0001737443 STANFORD FREDERICK 40 BURTON HILLS BLVD. SUITE 415 NASHVILLE TN 37215 0 1 0 0 President Class A common stock, par value $0.0001 per share 2021-11-22 4 C 0 15000 A 15000 D Class A common stock, par value $0.0001 per share 2021-11-22 4 S 0 14036 21.14 D 964 D Class A common stock, par value $0.0001 per share 2021-11-22 4 S 0 964 22.25 D 0 D Class B common stock, par value $0.0001 per share 2021-11-22 4 J 0 15000 D 117577 D Common Units 2021-11-22 4 C 0 15000 D Class A common stock, par value $0.0001 per share 15000 117577 D 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"). The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 14, 2021. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.51 to $21.42, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. 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. The vested Common Units may be redeemed by the Reporting Person 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 Reporting Person's redemption of a Common Unit for Class A Common Stock, any corresponding share of Class B Common Stock will be cancelled. All Common Units are fully vested and have no expiration date. /s/ Paul Maple, Attorney-in-Fact for Frederick Stanford 2021-11-23