0000921895-21-002752.txt : 20211122 0000921895-21-002752.hdr.sgml : 20211122 20211122192028 ACCESSION NUMBER: 0000921895-21-002752 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211118 FILED AS OF DATE: 20211122 DATE AS OF CHANGE: 20211122 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Poston Edwin A. CENTRAL INDEX KEY: 0001888753 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40937 FILM NUMBER: 211434214 MAIL ADDRESS: STREET 1: C/O P10, INC. STREET 2: 4514 COLE AVENUE, SUITE 1600 CITY: DALLAS STATE: TX ZIP: 75205 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Williams Mel CENTRAL INDEX KEY: 0001890819 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40937 FILM NUMBER: 211434212 MAIL ADDRESS: STREET 1: C/O P10, INC. STREET 2: 4514 COLE AVENUE, SUITE 1600 CITY: DALLAS STATE: TX ZIP: 75205 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TrueBridge Colonial Fund, u/a dated 11/15/2015 CENTRAL INDEX KEY: 0001889675 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40937 FILM NUMBER: 211434213 BUSINESS ADDRESS: STREET 1: C/O P10, INC. STREET 2: 4514 COLE AVENUE, SUITE 1600 CITY: DALLAS STATE: TX ZIP: 75205 BUSINESS PHONE: (214) 999-6063 MAIL ADDRESS: STREET 1: C/O P10, INC. STREET 2: 4514 COLE AVENUE, SUITE 1600 CITY: DALLAS STATE: TX ZIP: 75205 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: P10, Inc. CENTRAL INDEX KEY: 0001841968 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 4514 COLE AVENUE, SUITE 1600 CITY: DALLAS STATE: TX ZIP: 75205 BUSINESS PHONE: (214) 999-6063 MAIL ADDRESS: STREET 1: 4514 COLE AVENUE, SUITE 1600 CITY: DALLAS STATE: TX ZIP: 75205 4 1 form411980003tru_11222021.xml OWNERSHIP DOCUMENT X0306 4 2021-11-18 0 0001841968 P10, Inc. PX 0001888753 Poston Edwin A. C/O P10, INC. 4514 COLE AVENUE, SUITE 1600 DALLAS TX 75205 1 0 0 1 Member of 10% Owner Group 0001889675 TrueBridge Colonial Fund, u/a dated 11/15/2015 C/O P10, INC. 4514 COLE AVENUE, SUITE 1600 DALLAS TX 75205 0 0 0 1 Member of 10% Owner Group 0001890819 Williams Mel C/O P10, INC. 4514 COLE AVENUE, SUITE 1600 DALLAS TX 75205 0 0 0 1 Member of 10% Owner Group Class A Common Stock 2021-11-18 4 C 0 4146 A 4146 I By MAW Management Co. Class A Common Stock 2021-11-18 4 S 0 4146 12 D 0 I By MAW Management Co. Class A Common Stock 2021-11-18 4 C 0 344344 A 344344 I By TrueBridge Colonial Fund Class A Common Stock 2021-11-18 4 S 0 344344 12 D 0 I By TrueBridge Colonial Fund Class A Common Stock 2021-11-18 4 C 0 340197 A 340197 I By Mel Williams Irrevocable Trust Class A Common Stock 2021-11-18 4 S 0 340197 12 D 0 I By Mel Williams Irrevocable Trust Class A Common Stock 2021-11-18 4 C 0 6882 A 6882 I By TrueBridge Ascent LLC Class A Common Stock 2021-11-18 4 S 0 6882 12 D 0 I By TrueBridge Ascent LLC Class B Common Stock 2021-11-18 4 C 0 4146 D Class A Common Stock 4146 104698 I By MAW Management Co. Class B Common Stock 2021-11-18 4 C 0 344344 D Class A Common Stock 344344 8694409 I By TrueBridge Colonial Fund Class B Common Stock 2021-11-18 4 C 0 340197 D Class A Common Stock 340197 8589713 I By Mel Williams Irrevocable Trust Class B Common Stock 2021-11-18 4 C 0 6882 D Class A Common Stock 6882 173770 I By TrueBridge Ascent LLC This Form 4 is being filed by Edwin Poston and Mel Williams (collectively, the "Reporting Persons"). The Reporting Persons are members of a Section 13(d) group that collectively beneficially owns more than 10% of the Issuer's Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the securities of the Issuer reported herein, except to the extent of his pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that the Reporting Persons are beneficial owners of the securities of the Issuer reported herein. Holders of Class B Common Stock may elect to convert such shares on a one-for-one basis into Class A Common Stock at any time. After a Sunset (as defined below) becomes effective, each share of Class B Common Stock will automatically convert into Class A Common Stock. Continued from Footnote 2: A "Sunset" is triggered by any of the earlier of the following: (i) the Sunset Holders (as defined in the amended and restated certificate of incorporation of the Issuer (the "Charter")) cease to maintain direct or indirect beneficial ownership of 10% of the outstanding shares of Class A Common Stock (determined assuming all outstanding shares of Class B Common Stock have been converted into Class A Common Stock), (ii) the Sunset Holders collectively cease to maintain direct or indirect beneficial ownership of at least 25% of the aggregate voting power of the outstanding shares of Common Stock, and (iii) upon the tenth anniversary of the effective date of the Charter. On November 18, 2021, each Reporting Person directed the sale of shares of Class B Common Stock, as reported herein, resulting in the automatic conversion of the shares into Class A Common Stock upon execution of the sale. Represents securities of the Issuer owned directly by MAW Management Co. ("MAW Management"). Mr. Williams, as the manager of MAW Management, may be deemed to beneficially own the securities of the Issuer owned directly by MAW Management. Represents securities of the Issuer owned directly by the TrueBridge Colonial Fund (the "TrueBridge Fund"). First Republic Trust Company of Delaware, as trustee of the TrueBridge Fund, may be deemed to beneficially own the securities of the Issuer owned directly by the TrueBridge Fund. Represents securities of the Issuer owned directly by the Mel Williams Irrevocable Trust (the "Mel Trust"). Alliance Trust Company, as trustee of the Mel Trust, may be deemed to beneficially own the securities of the Issuer owned directly by the Mel Trust. Represents securities of the Issuer owned directly by TrueBridge Ascent LLC ("TrueBridge LLC"). Mr. Poston, as manager of TrueBridge LLC, may be deemed to beneficially own the securities of the Issuer owned directly by TrueBridge LLC. /s/Amanda Coussens, as Attorney-in-Fact for the Reporting Persons 2021-11-22