0001104659-21-148299.txt : 20211209
0001104659-21-148299.hdr.sgml : 20211209
20211209210107
ACCESSION NUMBER: 0001104659-21-148299
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20211207
FILED AS OF DATE: 20211209
DATE AS OF CHANGE: 20211209
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Shanahan James
CENTRAL INDEX KEY: 0001746394
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38604
FILM NUMBER: 211483419
MAIL ADDRESS:
STREET 1: C/O FOCUS FINANCIAL PARTNERS, INC.
STREET 2: 825 THIRD AVENUE, 27TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Focus Financial Partners Inc.
CENTRAL INDEX KEY: 0001651052
STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282]
IRS NUMBER: 474780811
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 875 THIRD AVENUE
STREET 2: 28TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: (646)519-2456
MAIL ADDRESS:
STREET 1: 875 THIRD AVENUE
STREET 2: 28TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
4
1
tm2135076-3_4seq1.xml
OWNERSHIP DOCUMENT
X0306
4
2021-12-07
0
0001651052
Focus Financial Partners Inc.
FOCS
0001746394
Shanahan James
875 THIRD AVENUE, 28TH FLOOR
NEW YORK
NY
10022
0
1
0
0
Chief Financial Officer
Common Units in Focus Financial Partners, LLC
2021-12-07
4
F
0
539
64.38
D
Class A Common Stock
539
5109
I
By James Shanahan 2020 Revocable Trust
As previously reported, on December 7, 2020, the Reporting Person acquired 5,648 unvested common units that vest in four equal installments on each anniversary of December 7, 2020. Vested common units are exchangeable (together with an equal number of shares of Class B common stock), subject to certain restrictions in the Fourth Amended and Restated Operating Agreement of Focus Financial Partners, LLC ("Focus LLC"), for (i) an equal number of shares of the Issuer's Class A common stock or, (ii) at the election of the Issuer, cash.
On December 7, 2021, 1,412 of the Reporting Person's unvested common units vested and 539 of such common units were withheld by the Issuer to satisfy the tax obligations upon vesting. The number of common units withheld was based on the closing price of the Issuer's Class A common stock on December 6, 2021.
As of the date of this report, 873 of these common units are vested and 4,236 of these common units are unvested.
Represents securities held by the James Shanahan 2020 Revocable Trust, a revocable living trust established by the Reporting Person. The securities were previously held directly and were transferred to the trust on December 31, 2020.
/s/ J. Russell McGranahan as Attorney-in-Fact
2021-12-09