Form 4/A for FOUR Shift4 Payments, Inc.
Accepted 2024-09-10 00:00:00 ET · period of report 2024-06-28 · accession 0000950170-24-105143 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMAI | 2024-09-10 | 2024-06-28 | FOUR | Isaacman Jared | COB, CEO, Dir, 10% | J - Other | $0.00 | -8.06M | 0 | -100% | $0 |
| DMAI | 2024-09-10 | 2024-06-28 | FOUR | Isaacman Jared | COB, CEO, Dir, 10% | C - Cnv Deriv | $0.00 | +4.03M | 1.98M | New | $0 |
| DMAI | 2024-09-10 | 2024-06-28 | FOUR | Isaacman Jared | COB, CEO, Dir, 10% | J - Other | — | -4.03M | 0 | -100% | — |
| DMAI | 2024-09-10 | 2024-06-28 | FOUR | Isaacman Jared | COB, CEO, Dir, 10% | C - Cnv Deriv | $0.00 | -4.03M | 19.80M | -17% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Class A Common Stock | 2024-06-28 | J | D | 2,051,874 | — | 0 | I See footnotes | — | — | (F5) From June 28, 2024 to September 9, 2024 (the "T-2 Settlement Period"), Rook SPV physically settled one of the Transactions with the Counterparty, relating to 2,259,247 shares of Class A Common Stock in accordance with the Transaction terms previously agreed upon as of September 7, 2021 and previously reported on September 8, 2021. In connection with such settlement, Rook SPV redeemed 2,051,874 shares of Class B Common Stock and LLC Interests for shares of Class A Common Stock and delivered such shares during the T-2 Settlement Period and Rook SPV retained the 207,373 remaining number of shares of Class B Common Stock and LLC Interests that were previously pledged to Counterparty. (F1) Represents securities held of record by Rook SPV 2, LLC ("Rook SPV"). (F2) Rook SPV is a wholly owned subsidiary of Rook Holdings Inc. Mr. Isaacman is the sole stockholder of Rook Holdings Inc. and therefore may be deemed to beneficially own the securities held of record by Rook SPV and Rook Holdings Inc. |
| 2 | Common | Class B Common Stock | 2024-06-28 | J | D | 2,051,874 | $0.00 | 19,798,161 | I See footnotes | — | — | (F1) Represents securities held of record by Rook SPV 2, LLC ("Rook SPV"). (F2) Rook SPV is a wholly owned subsidiary of Rook Holdings Inc. Mr. Isaacman is the sole stockholder of Rook Holdings Inc. and therefore may be deemed to beneficially own the securities held of record by Rook SPV and Rook Holdings Inc. |
| 3 | Common | Class A Common Stock | 2024-06-28 | C | A | 2,051,874 | $0.00 | 2,051,874 | I See footnotes | — | — | (F1) Represents securities held of record by Rook SPV 2, LLC ("Rook SPV"). (F2) Rook SPV is a wholly owned subsidiary of Rook Holdings Inc. Mr. Isaacman is the sole stockholder of Rook Holdings Inc. and therefore may be deemed to beneficially own the securities held of record by Rook SPV and Rook Holdings Inc. |
| 4 | Common | Class B Common Stock | 2024-06-28 | J | D | 1,978,981 | $0.00 | 21,850,035 | I See footnotes | — | — | (F1) Represents securities held of record by Rook SPV 2, LLC ("Rook SPV"). (F2) Rook SPV is a wholly owned subsidiary of Rook Holdings Inc. Mr. Isaacman is the sole stockholder of Rook Holdings Inc. and therefore may be deemed to beneficially own the securities held of record by Rook SPV and Rook Holdings Inc. |
| 5 | Common | Class A Common Stock | 2024-06-28 | C | A | 1,978,981 | $0.00 | 1,978,981 | I See footnotes | — | — | (F1) Represents securities held of record by Rook SPV 2, LLC ("Rook SPV"). (F2) Rook SPV is a wholly owned subsidiary of Rook Holdings Inc. Mr. Isaacman is the sole stockholder of Rook Holdings Inc. and therefore may be deemed to beneficially own the securities held of record by Rook SPV and Rook Holdings Inc. |
| 6 | Common | Class A Common Stock | 2024-06-28 | J | D | 1,978,981 | — | 0 | I See footnotes | — | — | (F4) From June 28, 2024 to September 9, 2024 (the "T-1 Settlement Period"), Rook SPV physically settled one of the Transactions with the Counterparty, relating to 2,178,984 shares of Class A Common Stock in accordance with the Transaction terms previously agreed upon as of September 7, 2021 and previously reported on September 8, 2021. In connection with such settlement, Rook SPV redeemed 1,978,981 shares of Class B Common Stock and LLC Interests for shares of Class A Common Stock and delivered such shares during the T-1 Settlement Period and Rook SPV retained the 200,003 remaining shares of Class B Common Stock and LLC Interests that were previously pledged to Counterparty. (F1) Represents securities held of record by Rook SPV 2, LLC ("Rook SPV"). (F2) Rook SPV is a wholly owned subsidiary of Rook Holdings Inc. Mr. Isaacman is the sole stockholder of Rook Holdings Inc. and therefore may be deemed to beneficially own the securities held of record by Rook SPV and Rook Holdings Inc. |
| 7 | Derivative | Forward Sale Contract (obligation to sell) | 2024-06-28 | J | D | 1,978,981 | — | 0 | I See footnote | — · — to — | 1,978,981 Class A Common Stock | (F4) From June 28, 2024 to September 9, 2024 (the "T-1 Settlement Period"), Rook SPV physically settled one of the Transactions with the Counterparty, relating to 2,178,984 shares of Class A Common Stock in accordance with the Transaction terms previously agreed upon as of September 7, 2021 and previously reported on September 8, 2021. In connection with such settlement, Rook SPV redeemed 1,978,981 shares of Class B Common Stock and LLC Interests for shares of Class A Common Stock and delivered such shares during the T-1 Settlement Period and Rook SPV retained the 200,003 remaining shares of Class B Common Stock and LLC Interests that were previously pledged to Counterparty. (F1) Represents securities held of record by Rook SPV 2, LLC ("Rook SPV"). (F2) Rook SPV is a wholly owned subsidiary of Rook Holdings Inc. Mr. Isaacman is the sole stockholder of Rook Holdings Inc. and therefore may be deemed to beneficially own the securities held of record by Rook SPV and Rook Holdings Inc. |
| 8 | Derivative | LLC Interests | 2024-06-28 | C | D | 1,978,981 | $0.00 | 21,850,035 | I See footnote | — · — to — | 1,978,981 Class A Common Stock | (F1) Represents securities held of record by Rook SPV 2, LLC ("Rook SPV"). (F2) Rook SPV is a wholly owned subsidiary of Rook Holdings Inc. Mr. Isaacman is the sole stockholder of Rook Holdings Inc. and therefore may be deemed to beneficially own the securities held of record by Rook SPV and Rook Holdings Inc. (F6) The LLC Interests generally may be redeemed by Rook SPV at any time for shares of the Class A Common Stock on a 1-to-1 basis. Upon redemption of any LLC Interests, a corresponding number of shares of Class B Common Stock will be cancelled for no consideration. |
| 9 | Derivative | Forward Sale Contract (obligation to sell) | 2024-06-28 | J | D | 2,051,874 | — | 0 | I See footnote | — · — to — | 2,051,874 Class A Common Stock | (F5) From June 28, 2024 to September 9, 2024 (the "T-2 Settlement Period"), Rook SPV physically settled one of the Transactions with the Counterparty, relating to 2,259,247 shares of Class A Common Stock in accordance with the Transaction terms previously agreed upon as of September 7, 2021 and previously reported on September 8, 2021. In connection with such settlement, Rook SPV redeemed 2,051,874 shares of Class B Common Stock and LLC Interests for shares of Class A Common Stock and delivered such shares during the T-2 Settlement Period and Rook SPV retained the 207,373 remaining number of shares of Class B Common Stock and LLC Interests that were previously pledged to Counterparty. (F1) Represents securities held of record by Rook SPV 2, LLC ("Rook SPV"). (F2) Rook SPV is a wholly owned subsidiary of Rook Holdings Inc. Mr. Isaacman is the sole stockholder of Rook Holdings Inc. and therefore may be deemed to beneficially own the securities held of record by Rook SPV and Rook Holdings Inc. |
| 10 | Derivative | LLC Interests | 2024-06-28 | C | D | 2,051,874 | $0.00 | 19,798,161 | I See footnote | — · — to — | 2,051,874 Class A Common Stock | (F1) Represents securities held of record by Rook SPV 2, LLC ("Rook SPV"). (F2) Rook SPV is a wholly owned subsidiary of Rook Holdings Inc. Mr. Isaacman is the sole stockholder of Rook Holdings Inc. and therefore may be deemed to beneficially own the securities held of record by Rook SPV and Rook Holdings Inc. (F6) The LLC Interests generally may be redeemed by Rook SPV at any time for shares of the Class A Common Stock on a 1-to-1 basis. Upon redemption of any LLC Interests, a corresponding number of shares of Class B Common Stock will be cancelled for no consideration. |