0001821850-22-000064.txt : 20221004 0001821850-22-000064.hdr.sgml : 20221004 20221004143216 ACCESSION NUMBER: 0001821850-22-000064 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220930 FILED AS OF DATE: 20221004 DATE AS OF CHANGE: 20221004 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Potere Matthew CENTRAL INDEX KEY: 0001869195 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39739 FILM NUMBER: 221290830 MAIL ADDRESS: STREET 1: 101 N. TRYON STREET, STE. 1000 CITY: CHARLOTTE STATE: NC ZIP: 28246 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Sunlight Financial Holdings Inc. CENTRAL INDEX KEY: 0001821850 STANDARD INDUSTRIAL CLASSIFICATION: FINANCE SERVICES [6199] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 101 N. TRYON STREET STREET 2: SUITE 1000 CITY: CHARLOTTE STATE: NC ZIP: 28246 BUSINESS PHONE: (212) 515-3200 MAIL ADDRESS: STREET 1: 101 N. TRYON STREET STREET 2: SUITE 1000 CITY: CHARLOTTE STATE: NC ZIP: 28246 FORMER COMPANY: FORMER CONFORMED NAME: Spartan Acquisition Corp. II DATE OF NAME CHANGE: 20200819 4 1 wf-form4_166490832067178.xml FORM 4 X0306 4 2022-09-30 0 0001821850 Sunlight Financial Holdings Inc. SUNL 0001869195 Potere Matthew C/O SUNLIGHT FINANCIAL HOLDINGS INC. 101 N. TRYON STREET, SUITE 1000 CHARLOTTE NC 28246 1 1 0 0 Chief Executive Officer Class A Common Stock 2022-09-30 4 A 0 196261 0 A 962340 D Private Units Class A Common Stock 2983960.0 3510541 D Private Units Class A Common Stock 526581.0 3510541 I By grantor retained annuity trust(s) The reporting person received Restricted Stock Units ("RSUs"), which are settled in shares of Class A Common Stock, under the 2021 Equity Incentive Plan of Sunlight Financial Holdings Inc. (the "Company"). The RSUs will vest over a 4-year period in equal installments annually, commencing on February 18, 2023. The reporting person received these Private Units on July 9, 2021, pursuant to the Business Combination Agreement, dated as of January 23, 2021 by and among Spartan Acquisition Corp. II ("Spartan"), Sunlight Financial LLC ("SFLLC"), and certain of their respective affiliates and subsidiaries. Each Private Unit consists of a Class EX Unit issued by SFLLC, together with one share of Class C Common Stock issued by the Company. Each Private Unit is exchangeable, subject to certain conditions, for either one share of Class A Common Stock, or at SFLLC's election, an amount of cash equivalent to the market value of one share of Class A Common Stock, pursuant to and in accordance with the terms of the Fifth Amended and Restated Limited Liability Company Agreement of SFLCC. The Class C Common Stock will vote together with the Class A Common Stock as a single class, but will have no economic rights. These exchange rights do not expire. The reporting person disclaims beneficial ownership, except to the extent of his pecuniary interest therein. /s/ Lindsay Schall, attorney-in-fact 2022-10-04