0001140361-22-026968.txt : 20220726 0001140361-22-026968.hdr.sgml : 20220726 20220726160028 ACCESSION NUMBER: 0001140361-22-026968 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220601 FILED AS OF DATE: 20220726 DATE AS OF CHANGE: 20220726 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-39445 FILM NUMBER: 221107106 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-39445 FILM NUMBER: 221107105 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/A 1 form4.xml FORM 4/A X0306 4/A 2022-06-01 2022-07-14 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 302499 D Class A Common Stock 2022-06-16 4 X 0 50000 0.0001 A 352499 D Class A Common Stock 2022-06-16 4 S 0 5 0.0001 D 352494 D Class A Common Stock 2022-06-23 4 S 0 9995 2.43 D 342499 D Warrant (right to buy) 0.0001 2022-06-01 4 S 0 75000 0.9075 D 2022-06-02 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 2022-06-02 2027-05-23 Class A Common Stock 25000 177500 D Warrant (right to buy) 0.0001 2022-06-07 4 S 0 24700 1.1311 D 2022-06-02 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 2022-06-02 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 2022-06-02 2027-05-23 Class A Common Stock 39906 98937 D Warrant (right to buy) 0.0001 2022-06-14 4 S 0 21437 1.2802 D 2022-06-02 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 2022-06-02 2027-05-23 Class A Common Stock 50000 27500 D These securities 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. This Form 4 amendment is being filed to (1) correct the total number of shares of Class A Common Stock beneficially owned by the Reporting Persons following each transaction reported herein, by adding 164,999 shares that were inadvertently omitted from the original Form 4, and (2) correct the Date Exercisable for the reported Warrants with a $0.0001 strike price. Nomura Securities International, Inc. /s/ Fernando Del Puerto, Managing Director 2022-07-26 Nomura Holdings, Inc. /s/ Samir Patel, Managing Director 2022-07-26