0001209191-23-050817.txt : 20230928 0001209191-23-050817.hdr.sgml : 20230928 20230928194557 ACCESSION NUMBER: 0001209191-23-050817 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230925 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41703 FILM NUMBER: 231291414 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 4 1 doc4.xml FORM 4 SUBMISSION X0508 4 2023-09-25 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 0 Common Stock 2023-09-25 4 A 0 271969 0.00 A 296391 D Common Stock 70662 I See footnote 3. Restricted stock units ("RSUs") granted pursuant to Issuer's Amended and Restated 2017 Stock Incentive Plan, as amended. The RSUs are common stock equivalents and represent a contingent right to receive Class A common stock of Issuer upon vesting. RSUs will vest 25% on January 1, 2024, and 1/36th each month thereafter for the following 36 months. Class A common stock owned by Wave Investments LLC, an Arizona limited liability company, of which the Reporting Person is the sole manager. /s/ Roy J. Bade 2023-09-28