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