0001140361-22-026013.txt : 20220714
0001140361-22-026013.hdr.sgml : 20220714
20220714163030
ACCESSION NUMBER: 0001140361-22-026013
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20220601
FILED AS OF DATE: 20220714
DATE AS OF CHANGE: 20220714
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: NOMURA SECURITIES INTERNATIONAL INC
CENTRAL INDEX KEY: 0000902266
STANDARD INDUSTRIAL CLASSIFICATION: ASSET-BACKED SECURITIES [6189]
STATE OF INCORPORATION: NY
FISCAL YEAR END: 0331
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39445
FILM NUMBER: 221083335
BUSINESS ADDRESS:
STREET 1: WORLDWIDE PLAZA
STREET 2: 309 WEST 49TH STREET
CITY: NEW YORK
STATE: NY
ZIP: 10019
BUSINESS PHONE: 2126679432
MAIL ADDRESS:
STREET 1: WORLDWIDE PLAZA
STREET 2: 309 WEST 49TH STREET
CITY: NEW YORK
STATE: NY
ZIP: 10019
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: NOMURA HOLDINGS INC
CENTRAL INDEX KEY: 0001163653
STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211]
STATE OF INCORPORATION: M0
FISCAL YEAR END: 0331
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39445
FILM NUMBER: 221083334
BUSINESS ADDRESS:
STREET 1: 1-13-1 NIHONBASHI
STREET 2: CHUO-KU
CITY: TOKYO
STATE: M0
ZIP: 103-8645
BUSINESS PHONE: 81-3-5255-1000
MAIL ADDRESS:
STREET 1: 1-13-1 NIHONBASHI
STREET 2: CHUO-KU
CITY: TOKYO
STATE: M0
ZIP: 103-8645
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: MSP Recovery, Inc.
CENTRAL INDEX KEY: 0001802450
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROCESSING & DATA PREPARATION [7374]
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 2701 LE JEUNE ROAD
STREET 2: FLOOR 10
CITY: CORAL GABLES
STATE: FL
ZIP: 33134
BUSINESS PHONE: 305.614.2222
MAIL ADDRESS:
STREET 1: 2701 LE JEUNE ROAD
STREET 2: FLOOR 10
CITY: CORAL GABLES
STATE: FL
ZIP: 33134
FORMER COMPANY:
FORMER CONFORMED NAME: Lionheart Acquisition Corp. II
DATE OF NAME CHANGE: 20200724
FORMER COMPANY:
FORMER CONFORMED NAME: Lionheart Acquisition Corp.
DATE OF NAME CHANGE: 20200205
4
1
form4.xml
FORM 4
X0306
4
2022-06-01
0001802450
MSP Recovery, Inc.
MSPR
0000902266
NOMURA SECURITIES INTERNATIONAL INC
WORLDWIDE PLAZA
309 WEST 49TH STREET
NEW YORK
NY
10019
true
0001163653
NOMURA HOLDINGS INC
9-1 NIHONBASHI 1-CHOME
CHUO-KU
TOKYO
M0
103-8645
JAPAN
true
Class A Common Stock
2022-06-02
4
S
0
1370
1.28
D
137500
D
Class A Common Stock
2022-06-16
4
X
0
50000
0.0001
A
187500
D
Class A Common Stock
2022-06-16
4
S
0
5
0.0001
D
187495
D
Class A Common Stock
2022-06-23
4
S
0
9995
2.43
D
177500
D
Warrant (right to buy)
0.0001
2022-06-01
4
S
0
75000
0.9075
D
2022-06-22
2027-05-23
Class A Common Stock
75000
202500
D
Warrant (right to buy)
0.0001
2022-06-02
4
S
0
25000
1.1
D
2022-06-22
2027-05-23
Class A Common Stock
25000
177500
D
Warrant (right to buy)
11.5
2022-06-06
4
S
0
14
0.075
D
2022-06-22
2027-05-23
Class A Common Stock
14
16386646
D
Warrant (right to buy)
0.0001
2022-06-07
4
S
0
24700
1.1311
D
2022-06-22
2027-05-23
Class A Common Stock
24700
152800
D
Warrant (right to buy)
0.0001
2022-06-08
4
S
0
13957
1.172
D
2022-06-22
2027-05-23
Class A Common Stock
13957
138843
D
Warrant (right to buy)
0.0001
2022-06-10
4
S
0
39906
1.0803
D
2022-06-22
2027-05-23
Class A Common Stock
39906
98937
D
Warrant (right to buy)
11.5
2022-06-10
4
S
0
61646
0.062
D
2022-06-22
2027-05-23
Class A Common Stock
61646
16325000
D
Warrant (right to buy)
0.0001
2022-06-14
4
S
0
21437
1.2802
D
2022-06-22
2027-05-23
Class A Common Stock
21437
77500
D
Warrant (right to buy)
0.0001
2022-06-16
4
X
0
50000
0
D
2022-06-22
2027-05-23
Class A Common Stock
50000
27500
D
These shares of Common Stock are owned by Nomura Securities International, Inc. ("NSI"). NSI is a wholly owned indirect subsidiary of Nomura Holdings, Inc. which accordingly may be deemed to beneficially own the shares owned by NSI.
Represents shares withheld in connection with a cashless exercise of warrants to purchase 50,000 shares of Common Stock at an exercise price of $0.0001 per share.
Unless earlier redeemed by the Issuer.
The price reported in Column 8 is a weighted average price. These warrants were sold in multiple transactions at prices ranging from $0.85 to $1.02, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of warrants sold at each separate price within the range set forth herein.
The price reported in Column 8 is a weighted average price. These warrants were sold in multiple transactions at prices ranging from $1.1 to $1.11, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of warrants sold at each separate price within the range set forth herein.
The price reported in Column 8 is a weighted average price. These warrants were sold in multiple transactions at prices ranging from $1.13 to $1.14, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of warrants sold at each separate price within the range set forth herein.
The price reported in Column 8 is a weighted average price. These warrants were sold in multiple transactions at prices ranging from $1.17 to $1.19, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of warrants sold at each separate price within the range set forth herein
The price reported in Column 8 is a weighted average price. These warrants were sold in multiple transactions at prices ranging from $1.08 to $1.1, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of warrants sold at each separate price within the range set forth herein.
The price reported in Column 8 is a weighted average price. These warrants were sold in multiple transactions at prices ranging from $1.28 to $1.29, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of warrants sold at each separate price within the range set forth herein.
Nomura Securities International, Inc. /s/ Fernando Del Puerto, Managing Director
2022-07-14
Nomura Holdings, Inc. /s/ Samir Patel, Managing Director
2022-07-14