FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Bridge Investment Group Holdings Inc. [ BRDG ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 07/20/2021 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Class A Common Stock | 07/20/2021 | A | 109,631(1) | A | $0.00 | 109,631 | D | |||
Class A Common Stock | 07/20/2021 | P | 300(2) | A | $16 | 300 | I | By daughter | ||
Class B Common Stock | 07/20/2021 | D(3) | 198,960 | D | $0.00 | 1,527,095 | I | By Adam B. O'Farrell and Tracy K. O'Farrell Trust dtd May 9, 2019 | ||
Class B Common Stock | 760,950 | I | By The O'Farrell Irrevocable Trust |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Class A Units | (4) | 07/20/2021 | D(5) | 198,960 | (4) | (4) | Class A Common Stock | 198,960 | $14.63 | 1,527,095 | I | By Adam B. O'Farrell and Tracy K. O'Farrell Trust dtd May 9, 2019 | |||
Class A Units | (4) | (4) | (4) | Class A Common Stock | 760,950 | 760,950 | I | By The O'Farrell Irrevocable Trust |
Explanation of Responses: |
1. Represents an award of restricted Class A Common Stock which will vest in three equal annual installments, with the first such annual installment vesting on July 20, 2024, subject to the Reporting Person's continued service with the Issuer through each vesting date. |
2. The Reporting Person disclaims beneficial ownership of the shares held by his daughter, and this report should not be deemed an admission that the reporting person is the beneficial owner of his daughter's shares for purposes of Section 16 or for any other purpose. |
3. Reflects the cancellation for no consideration of Class B Common Stock in connection with the redemption and conversion of the Class A Units into shares of Class A Common Stock. |
4. The Class A Units may be redeemed by the Reporting Person at any time for shares of Class A Common Stock on a 1-to-1 basis. |
5. As described in the prospectus filed by the Issuer with the Securities and Exchange Commission, upon the closing of the offering, the Issuer redeemed the Class A Units from the Reporting Person. |
Remarks: |
Partner, Chief Operating Officer |
/s/ Matthew Grant, as attorney-in-fact | 07/21/2021 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |