0001853906-24-000006.txt : 20240403
0001853906-24-000006.hdr.sgml : 20240403
20240403163259
ACCESSION NUMBER: 0001853906-24-000006
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20240401
FILED AS OF DATE: 20240403
DATE AS OF CHANGE: 20240403
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Fleming Graham
CENTRAL INDEX KEY: 0001853906
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40308
FILM NUMBER: 24819315
MAIL ADDRESS:
STREET 1: C/O FINANCE OF AMERICA COMPANIES INC.
STREET 2: 5830 GRANITE PARKWAY, SUITE 400
CITY: PLANO
STATE: TX
ZIP: 75024
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Finance of America Companies Inc.
CENTRAL INDEX KEY: 0001828937
STANDARD INDUSTRIAL CLASSIFICATION: MORTGAGE BANKERS & LOAN CORRESPONDENTS [6162]
ORGANIZATION NAME: 02 Finance
IRS NUMBER: 853474065
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 5830 GRANITE PARKWAY
STREET 2: SUITE 400
CITY: PLANO
STATE: TX
ZIP: 75024
BUSINESS PHONE: 877-202-2666
MAIL ADDRESS:
STREET 1: 5830 GRANITE PARKWAY
STREET 2: SUITE 400
CITY: PLANO
STATE: TX
ZIP: 75024
4
1
wk-form4_1712176369.xml
FORM 4
X0508
4
2024-04-01
0
0001828937
Finance of America Companies Inc.
FOA
0001853906
Fleming Graham
C/O FINANCE OF AMERICA COMPANIES INC.,
5830 GRANITE PARKWAY, SUITE 400
PLANO
TX
75024
0
1
0
0
Chief Executive Officer
0
Class A Common Stock
2024-04-01
4
M
0
10434
A
10434
I
By Corp
Class A Common Stock
2024-04-01
4
D
0
10434
0
D
0
I
By Corp
Class A Common Stock
2024-04-01
4
M
0
326801
0
A
977071
D
Class A Common Stock
2024-04-01
4
F
0
94773
0.7351
D
882298
D
Class A Common Stock
2024-04-01
4
M
0
162866
0
A
1045164
D
Class A Common Stock
2024-04-01
4
F
0
47232
0.7351
D
997932
D
Class A Common Stock
2024-04-01
4
M
0
403226
0
A
1401158
D
Class A Common Stock
2024-04-01
4
F
0
116936
0.7351
D
1284222
D
Class A Common Stock
20000
I
By Trust
LLC Units of Finance of America Equity Capital LLC
2024-04-01
4
M
0
10434
0
D
Class A Common Stock
10434
1219959
I
By Corp
Restricted Stock Units
2024-04-01
4
M
0
326801
0
D
Class A Common Stock
326801
0
D
Restricted Stock Units
2024-04-01
4
M
0
162866
0
D
Class A Common Stock
162866
162867
D
Restricted Stock Units
2024-04-01
4
M
0
403226
0
D
Class A Common Stock
403226
806452
D
Restricted Stock Units
2024-04-01
4
A
0
2000000
0
A
Class A Common Stock
2000000
2000000
D
Pursuant to the terms of an exchange agreement, dated as of April 1, 2021, limited liability company units of Finance of America Equity Capital LLC ("FOA Units") held by the Reporting Person are exchangeable for shares of the Issuer's Class A common stock ("Common Stock") on a one-for-one basis. These exchange rights do not expire.
Pursuant to the LTIP Award Settlement Agreement (the "LTIP Award Settlement Agreement"), dated as of October 12, 2020, by and among the Issuer, the Reporting Person and certain equityholders of the Issuer and Finance of America Equity Capital LLC, such equityholders are obligated to deliver a number of shares of Common Stock (either held or acquired upon conversion of FOA Units) to the Issuer in connection with the settlement of awards of restricted stock units ("RSUs"), granted by the Issuer. On April 1, 2024, in connection with the Issuer's settlement of RSUs into shares of Common Stock, the Reporting Person converted certain FOA Units and delivered certain shares of Common Stock to the Issuer pursuant to the LTIP Award Settlement Agreement.
Each RSU represents a contingent right to receive one share of Common Stock. The RSUs will be settled in either Common Stock or cash (or a combination thereof) at the discretion of the Issuer's compensation committee.
Represents the withholding of shares of Common Stock for tax purposes in connection with the settlement of RSUs.
Each RSU represents a contingent right to receive one share of Common Stock. The RSUs will be settled in either Common Stock or cash (or a combination thereof) at the discretion of the Issuer's compensation committee. The remaining RSUs vest on the third anniversary of April 1, 2022, subject to the Reporting Person's continued employment.
Each RSU represents a contingent right to receive one share of Common Stock. The RSUs will be settled in either Common Stock or cash (or a combination thereof) at the discretion of the Issuer's compensation committee. The remaining RSUs vest on the second and third anniversaries of April 1, 2023, subject to the Reporting Person's continued employment.
Represents additional RSUs granted to the Reporting Person on April 1, 2024. Each RSU represents a contingent right to receive one share of Common Stock. The RSUs will be settled in either Common Stock or cash (or a combination thereof) at the discretion of the Issuer's compensation committee. The RSUs shall vest in one-third increments upon the first, second and third anniversaries of the vesting reference date, April 1, 2024, subject to the Reporting Person's continued employment.
/s/ Tracy Lowe, as Attorney-in-Fact
2024-04-03