0001209191-23-050815.txt : 20230928 0001209191-23-050815.hdr.sgml : 20230928 20230928194332 ACCESSION NUMBER: 0001209191-23-050815 CONFORMED SUBMISSION TYPE: 3/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230515 FILED AS OF DATE: 20230928 DATE AS OF CHANGE: 20230928 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BADE ROY JOHN CENTRAL INDEX KEY: 0001952783 FILING VALUES: FORM TYPE: 3/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-41703 FILM NUMBER: 231291410 MAIL ADDRESS: STREET 1: 8901 E MOUNTAIN ROAD STREET 2: SUITE 150 CITY: SCOTTSDALE STATE: AZ ZIP: 85258 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CaliberCos Inc. CENTRAL INDEX KEY: 0001627282 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE [6500] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 8901 E. MOUNTAIN VIEW RD. STREET 2: SUITE 150 CITY: SCOTTSDALE STATE: AZ ZIP: 85258 BUSINESS PHONE: 480-295-7600 MAIL ADDRESS: STREET 1: 8901 E. MOUNTAIN VIEW RD. STREET 2: SUITE 150 CITY: SCOTTSDALE STATE: AZ ZIP: 85258 FORMER COMPANY: FORMER CONFORMED NAME: CaliberCo Inc. DATE OF NAME CHANGE: 20141205 3/A 1 doc3a.xml FORM 3/A SUBMISSION X0206 3/A 2023-05-15 2023-05-15 0 0001627282 CaliberCos Inc. CWD 0001952783 BADE ROY JOHN 8901 E. MOUNTAIN VIEW ROAD SUITE 150 SCOTTSDALE AZ 85258 0 1 0 0 Ch. Development Officer Class A Common Stock 70662 I See footnote 1. Class A Common Stock 24422 D Employee Stock Options (right to buy) 3.35 2018-12-01 2027-12-01 Class A Common Stock 445888 D Class A common stock owned by Wave Investments LLC, an Arizona limited liability company, of which the Reporting Person is the sole manager. Restricted stock units ("RSUs") granted December 31, 2021 and April 1, 2022, pursuant to Issuer's Amended and Restated 2017 Stock Incentive Plan (the "Plan"). The RSUs are common stock equivalents and represent a contingent right to receive Class A common stock of Issuer upon vesting. Employee stock options (right to buy)("Options") granted December 1, 2017, pursuant to Issuer's Plan. Such Options are fully vested. /s/ Roy J. Bade 2023-09-28