Andrew L. Graham - 13 Apr 2023 Form 4 Insider Report for LM FUNDING AMERICA, INC. (LMFA)

Role
Director
Signature
/s/ Richard D. Russell, Attorney-in-Fact for Andrew Graham
Issuer symbol
LMFA
Transactions as of
13 Apr 2023
Net transactions value
+$10,137
Form type
4
Filing time
14 Apr 2023, 16:58:36 UTC
Previous filing
03 Jan 2023
Next filing
28 Mar 2024
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction LMFA Common Stock Purchase $10,137 +10,900 +33% $0.9300 43,816 13 Apr 2023 Direct

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding LMFA Stock Option (right to buy) 12,605 13 Apr 2023 Common Stock 12,605 $5.95 Direct F1
holding LMFA Stock Option (right to buy) 100 13 Apr 2023 Common Stock 100 $500.00 Direct F2
holding LMFA Stock Option (right to buy) 167,797 13 Apr 2023 Common Stock 167,797 $0.5900 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Andrew L. Graham is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may continue.

Explanation of Responses:

Id Content
F1 Options were granted under the LM Funding America, Inc. 2021 Omnibus Incentive Plan. These options are fully vested as of the date of this Form 4.
F2 This option is presently exercisable in full.
F3 Option awards to purchase shares of common stock were granted under the Non-Employee Director Compensation Plan, as amended on November 18, 2022 (the "Plan"). Shares subject to the options will vest as to one-half on the 180th day after the grant date and as to one-half on the date that is the first anniversary of the grant date. Unvested awards will become fully vested upon a Change of Control, as that term is used in the Plan.