Form 4 for HGTY Hagerty, Inc.

Accepted 2024-07-08 00:00:00 ET · period of report 2024-07-03 · accession 0001840776-24-000144 · 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
DI	2024-07-08	2024-07-03	HGTY	SWANSON WILLIAM H	Dir	M - OptEx	—	+14.4K	414.4K	+4%	—
DI	2024-07-08	2024-07-03	HGTY	SWANSON WILLIAM H	Dir	M - OptEx	—	-72.0K	0	-100%	—

Purchase Sale Sale after option exercise All abbreviations

#	Table	Security	Date	Code	A/D	Shares	Price	Owned after	Own	Exercise / expiry	Underlying	Footnotes
1	Common	Class A Common Stock	2024-07-03	M	A	14,400	—	414,400	I By Trust	—	—	(F2) On July 3, 2024, pursuant to the Issuer's previously announced exchange offer, the Trust exchanged 72,000 warrants, which previously entitled the Trust to purchase one share of Class A Common Stock at a price of $11.50 per share, for 14,400 shares of Class A Common Stock. (F1) The disposition of the warrants and the acquisition of Class A common stock, par value $0.0001 per share, of the Issuer ("Class A Common Stock") by The William and Cheryl Swanson Revocable Trust UTD 9/28/2000 (the "Trust") were approved by a committee comprised entirely of non-employee directors as defined in Rule 16b-3(b)(3) under the Securities Exchange Act of 1934, as amended. (F3) These securities are held by the Trust, of which the Reporting Person is trustee.
2	Derivative	Warrants	2024-07-03	M	D	72,000	—	0	I By Trust	— · — to —	72,000 Class A Common Stock	(F2) On July 3, 2024, pursuant to the Issuer's previously announced exchange offer, the Trust exchanged 72,000 warrants, which previously entitled the Trust to purchase one share of Class A Common Stock at a price of $11.50 per share, for 14,400 shares of Class A Common Stock. (F3) These securities are held by the Trust, of which the Reporting Person is trustee.