0001213900-21-043590.txt : 20210818 0001213900-21-043590.hdr.sgml : 20210818 20210818132627 ACCESSION NUMBER: 0001213900-21-043590 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210816 FILED AS OF DATE: 20210818 DATE AS OF CHANGE: 20210818 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CANTOR FITZGERALD, L. P. CENTRAL INDEX KEY: 0001024896 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39699 FILM NUMBER: 211186285 BUSINESS ADDRESS: STREET 1: 110 EAST 59TH STREET CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2126102000 MAIL ADDRESS: STREET 1: 110 EAST 59TH STREET CITY: NEW YORK STATE: NY ZIP: 10022 FORMER NAME: FORMER CONFORMED NAME: CANTOR FITZGERALD L P DATE OF NAME CHANGE: 19961015 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LUTNICK HOWARD W CENTRAL INDEX KEY: 0001250975 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39699 FILM NUMBER: 211186283 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CF Finance Holdings III, LLC CENTRAL INDEX KEY: 0001830088 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39699 FILM NUMBER: 211186286 BUSINESS ADDRESS: STREET 1: 110 EAST 59TH STREET CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-938-5000 MAIL ADDRESS: STREET 1: 110 EAST 59TH STREET CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CF GROUP MANAGEMENT INC CENTRAL INDEX KEY: 0001251145 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39699 FILM NUMBER: 211186284 MAIL ADDRESS: STREET 1: 135 EAST 57TH ST CITY: NEW YORK STATE: NY ZIP: 10022 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CF Finance Acquisition Corp. III CENTRAL INDEX KEY: 0001818644 STANDARD INDUSTRIAL CLASSIFICATION: MOTOR VEHICLE PARTS & ACCESSORIES [3714] IRS NUMBER: 371827430 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 110 EAST 59TH STREET CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-938-5000 MAIL ADDRESS: STREET 1: 110 EAST 59TH STREET CITY: NEW YORK STATE: NY ZIP: 10022 4 1 ownership.xml X0306 4 2021-08-16 1 0001818644 CF Finance Acquisition Corp. III CFAC 0001830088 CF Finance Holdings III, LLC 110 EAST 59TH STREET NEW YORK NY 10022 0 0 0 1 Former 10% holder 0001024896 CANTOR FITZGERALD, L. P. 110 EAST 59TH STREET NEW YORK NY 10022 0 0 0 1 Former 10% holder 0001251145 CF GROUP MANAGEMENT INC 110 EAST 59TH STREET NEW YORK NY 10022 0 0 0 1 Former 10% holder 0001250975 LUTNICK HOWARD W 110 EAST 59TH STREET NEW YORK NY 10022 0 0 0 1 Former 10% holder, CEO & Dir. Class A common stock 2021-08-16 4 M 0 5710000 0.00 A 6210000 D Class A common stock 2021-08-16 4 P 0 500000 10 A 6710000 D Class A common stock 2021-08-16 4 J 0 2284000 0.00 D 4426000 D Class B Common Stock 2021-08-16 4 M 0 5710000 0.00 D Class A Common Stock 5710000 0 D Warrants 11.5 2021-08-16 4 A 0 166666 A 2021-11-17 2026-08-16 Class A Common Stock 166666 166666 D As described in the issuer's registration statement on Form S-1 (File No. 333-249367) under the heading "Description of Securities--Founder Shares", upon consummation of the issuer's initial business combination and waiver of the anti-dilution rights in connection with the conversion, the shares of Class B common stock converted into shares of Class A common stock on a one-for-one basis. Pursuant to that certain Subscription Agreement, dated February 17, 2021, by and between the issuer and CF Finance Holdings III, LLC ("CF Finance Holdings III"), CF Finance Holdings III purchased an aggregate of 500,000 shares of Class A common stock of the issuer on August 16, 2021 in a private placement in connection with the issuer's initial business combination with AEye, Inc. CF Finance Holdings III is the record holder of the securities reported herein. Cantor Fitzgerald, L.P. ("Cantor") is the sole member of CF Finance Holdings III. CF Group Management, Inc. ("CFGM") is the managing general partner of Cantor. Mr. Lutnick is the Chairman and Chief Executive Officer of CFGM and is also the trustee of the sole stockholder of CFGM. As such, each of Cantor, CFGM and Mr. Lutnick may be deemed to have beneficial ownership of the securities directly held by CF Finance Holdings III. Each such entity or person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest they may have therein, directly or indirectly. CF Finance Holdings III transferred an aggregate of 2,284,000 shares of Class A common stock of the issuer to a third party immediately after the closing of the issuer's initial business combination. These warrants represent warrants issued to CF Finance Holdings III upon separation of the private units previously purchased by CF Finance Holdings III from the issuer in November 2020. CF Finance Holdings III acquired the private units for a purchase price of $10.00 per unit in a private placement that consummated in connection with the issuer's initial public offering. The warrants become eligible for exercise on November 17, 2021, which is one year from the closing of the issuer's initial public offering. /s/ Howard Lutnick, as Chief Executive Officer of CF Finance Holdings III, LLC 2021-08-18 /s/ Howard Lutnick, as Chief Executive Officer of Cantor Fitzgerald, L.P. 2021-08-18 /s/ Howard Lutnick, as Chief Executive Officer of CF Group Management Inc. 2021-08-18 /s/ Howard Lutnick 2021-08-18