0001869195-21-000002.txt : 20211130 0001869195-21-000002.hdr.sgml : 20211130 20211130102453 ACCESSION NUMBER: 0001869195-21-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211129 FILED AS OF DATE: 20211130 DATE AS OF CHANGE: 20211130 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: 211458572 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 wf-form4_163828587891692.xml FORM 4 X0306 4 2021-11-29 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 2021-11-29 4 P 0 20000 4.31 A 615000 D Private Units Class A Common Stock 2983960.0 3510541 D Private Units Class A Common Stock 526581.0 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 $4.22 to $4.39, 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 2021-11-30