Form 4 for OPFI OppFi Inc.
Accepted 2022-11-21 00:00:00 ET · period of report 2022-11-16 · accession 0001209191-22-058260 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMI | 2022-11-21 | 2022-11-17+ | OPFI | SCHWARTZ THEODORE G | Dir, 10% | P - Purchase | $2.41 | +13.7K | 374.1K | +4% | +$33.0K |
| D | 2022-11-21 | 2022-11-16 | OPFI | SCHWARTZ THEODORE G | Dir, 10% | M - OptEx | $0.00 | +18.5K | 18.5K | New | $0 |
| D | 2022-11-21 | 2022-11-16 | OPFI | SCHWARTZ THEODORE G | Dir, 10% | M - OptEx | $0.00 | -18.5K | 0 | -100% | $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 | 2022-11-17 | P | A | 6,806 | $2.38 | 367,157 | I By LTHS Revocable Trust | — | — | (F2) The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions with prices ranging from $2.325 to $2.41 for a weighted average sale price of $2.3813. The reporting person undertakes to provide the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. All shares were purchased in accordance with the daily volume and other limitations and requirements of Rule 10b-18. |
| 2 | Common | Class A Common Stock | 2022-11-18 | P | A | 6,900 | $2.43 | 374,057 | I | — | — | (F3) The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions with prices ranging from $2.40 to $2.45 for a weighted average sale price of $2.429. The reporting person undertakes to provide the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. All shares were purchased in accordance with the daily volume and other limitations and requirements of Rule 10b-18. |
| 3 | Common | Class A Common Stock | 2022-11-16 | M | A | 18,484 | $0.00 | 18,484 | D By LTHS Revocable Trust | — | — | (F1) On November 16, 2022, the reporting person received shares of Class A Common Stock, par value $0.0001 per share, of the issuer in settlement of restricted stock units ("RSUs"), which vested on July 20, 2022. |
| 4 | Derivative | Restricted Stock Units | 2022-11-16 | M | D | 18,484 | $0.00 | 0 | D | $0.00 · — to — | 18,484 Class A Common Stock | (F1) On November 16, 2022, the reporting person received shares of Class A Common Stock, par value $0.0001 per share, of the issuer in settlement of restricted stock units ("RSUs"), which vested on July 20, 2022. (F7) Each RSU represents a contingent right to receive one share of OppFi Inc. Class A Common Stock, par value $0.0001 per share, and was granted pursuant to the OppFi Inc. 2021 Equity Incentive Plan. On October 1, 2021, the reporting person was granted 18,484 RSUs which vested on July 20, 2022. |