0001104659-21-115200.txt : 20210913
0001104659-21-115200.hdr.sgml : 20210913
20210913195001
ACCESSION NUMBER: 0001104659-21-115200
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210910
FILED AS OF DATE: 20210913
DATE AS OF CHANGE: 20210913
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Potere Matthew
CENTRAL INDEX KEY: 0001869195
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39739
FILM NUMBER: 211250906
MAIL ADDRESS:
STREET 1: 101 N. TRYON STREET, STE. 1000
CITY: CHARLOTTE
STATE: NC
ZIP: 28246
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Sunlight Financial Holdings Inc.
CENTRAL INDEX KEY: 0001821850
STANDARD INDUSTRIAL CLASSIFICATION: FINANCE SERVICES [6199]
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 101 N. TRYON STREET
STREET 2: SUITE 1000
CITY: CHARLOTTE
STATE: NC
ZIP: 28246
BUSINESS PHONE: (212) 515-3200
MAIL ADDRESS:
STREET 1: 101 N. TRYON STREET
STREET 2: SUITE 1000
CITY: CHARLOTTE
STATE: NC
ZIP: 28246
FORMER COMPANY:
FORMER CONFORMED NAME: Spartan Acquisition Corp. II
DATE OF NAME CHANGE: 20200819
4
1
tm2127518-2_4seq1.xml
OWNERSHIP DOCUMENT
X0306
4
2021-09-10
0
0001821850
Sunlight Financial Holdings Inc.
SUNL
0001869195
Potere Matthew
C/O SUNLIGHT FINANCIAL HOLDINGS INC.
101 N. TRYON STREET, SUITE 1000
CHARLOTTE
NC
28246
1
1
0
0
Chief Executive Officer
Class A Common Stock
2021-09-10
4
P
0
85000
5.41
A
595000
D
Private Units
Class A Common Stock
2983960
3510541
D
Private Units
Class A Common Stock
526581
3510541
I
By grantor retained annuity trust(s)
The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.31 to $5.78, inclusive. The reporting person undertakes to provide to Sunlight Financial Holdings Inc. (the "Company"), any security holder of the Company 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 aforementioned range.
Each Private Unit consists of a Class EX Unit issued by Sunlight Financial LLC ("SFLLC"), together with one share of Class C Common Stock issued by the Company. Each Private Unit is exchangeable, subject to certain conditions, for either one share of Class A Common Stock, or at SFLLC's election, an amount of cash equivalent to the market value of one share of Class A Common Stock, pursuant to and in accordance with the terms of the Fifth Amended and Restated Limited Liability Company Agreement of SFLLC. The Class C Common Stock will vote together with the Class A Common Stock as a single class, but will have no economic rights. These exchange rights do not expire.
The reporting person disclaims beneficial ownership, except to the extent of his pecuniary interest therein.
/s/ Lindsay Schall, attorney-in-fact
2021-09-13