0000897069-23-000276.txt : 20230414 0000897069-23-000276.hdr.sgml : 20230414 20230414165836 ACCESSION NUMBER: 0000897069-23-000276 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20230413 FILED AS OF DATE: 20230414 DATE AS OF CHANGE: 20230414 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Graham Andrew L. CENTRAL INDEX KEY: 0001458737 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37605 FILM NUMBER: 23821866 MAIL ADDRESS: STREET 1: 3802 COCONUT PALM DRIVE CITY: TAMPA STATE: FL ZIP: 33619 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: LM FUNDING AMERICA, INC. CENTRAL INDEX KEY: 0001640384 STANDARD INDUSTRIAL CLASSIFICATION: FINANCE SERVICES [6199] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1200 WEST PLATT STREET STREET 2: SUITE 100 CITY: TAMPA STATE: FL ZIP: 33606 BUSINESS PHONE: 813-222-8996 MAIL ADDRESS: STREET 1: 1200 WEST PLATT STREET STREET 2: SUITE 100 CITY: TAMPA STATE: FL ZIP: 33606 4 1 form4.xml X0407 4 2023-04-13 true 0001640384 LM FUNDING AMERICA, INC. LMFA 0001458737 Graham Andrew L. 1200 PLATT STREET SUITE 100 TAMPA FL 33606 true false Common Stock 2023-04-13 4 P 0 10900 0.93 A 43816 D Stock Option (right to buy) 5.95 2031-10-28 Common Stock 12605 12605 D Stock Option (right to buy) 500 2022-02-10 Common Stock 100 100 D Stock Option (right to buy) 0.59 2032-12-29 Common Stock 167797 167797 D Options were granted under the LM Funding America, Inc. 2021 Omnibus Incentive Plan. These options are fully vested as of the date of this Form 4. This option is presently exercisable in full. Option awards to purchase shares of common stock were granted under the Non-Employee Director Compensation Plan, as amended on November 18, 2022 (the "Plan"). Shares subject to the options will vest as to one-half on the 180th day after the grant date and as to one-half on the date that is the first anniversary of the grant date. Unvested awards will become fully vested upon a Change of Control, as that term is used in the Plan. /s/ Richard D. Russell, Attorney-in-Fact for Andrew Graham 2023-04-14 EX-24.1 2 graham.htm
POWER OF ATTORNEY
The undersigned as a Section 16 reporting person of LM Funding America, Inc. (the “Company”), hereby constitutes and appoints Bruce M. Rodgers, Richard D. Russell, and any person who may hold the office of Chief Executive Officer, President, Chief Financial Officer, or Secretary of the Company, signing singly, the undersigned’s true and lawful attorney‑in‑fact to:
(1) execute, deliver and file for and on behalf of the undersigned, in the undersigned’s capacity as an officer and/or director of  the Company, Forms 3, 4, and 5 in accordance with Section 16(a) of the Securities Exchange Act of 1934, as amended,and the rules thereunder (the “Exchange Act”);
(2) do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Form 3, 4, or 5, complete and execute any amendment or amendments thereto, and timely file such form with the United States Securities and Exchange Commission and any stock exchange or similar authority;
(3) seek or obtain, as the undersigned’s representative and on the undersigned’s behalf, information on transactions in the Company’s securities from any third party, including brokers, employee benefit plan administrators and trustees, and the undersigned hereby authorizes any such person to release any such information to the undersigned and approves and ratifies any such release of information; and
(4) take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney‑in‑fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney‑in‑fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney‑in‑fact may approve in such attorney‑in‑fact’s discretion.
The undersigned hereby grants to each such attorney‑in‑fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney‑in‑fact, or such attorney‑in‑fact’s substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted.  The undersigned acknowledges that the foregoing attorneys‑in‑fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned’s responsibilities to comply with Section 16 of the Exchange Act.  The undersigned further acknowledges and agrees that the attorney-in-fact and the Company are relying on written and oral information provided by the undersigned to complete such forms and the undersigned is responsible for reviewing the completed forms prior to their filing.  The attorney-in-fact and the Company are not responsible for any errors or omissions in such filings.  The attorney-in-fact and the Company are not responsible for determining whether or not the transactions reported could be matched with any other transactions for the purpose of determining liability for short-swing profits under Section 16(b).
This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4, and 5 with respect to the undersigned’s holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the Company and the foregoing attorneys‑in‑fact.
[Signature page follows.]
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this April 12, 2023.
/s/ Andrew Graham                
Name:  Andrew Graham