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