Bruce M. Rodgers - Apr 20, 2023 Form 4/A - Amendment Insider Report for LM FUNDING AMERICA, INC. (LMFA)

Role: Chairman, CEO and President, Director
Signature: /s/ Bruce M. Rodgers
Stock symbol: LMFA
Transactions as of: Apr 20, 2023
Transactions value $: $0
Form type: 4/A - Amendment
Date filed: 5/15/2023, 04:44 PM
Date Of Original Report: Apr 24, 2023
Previous filing: Apr 10, 2023
Next filing: Apr 16, 2024

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	LMFA	Common Stock	Award	$0	+650K		$0.00	650K	Apr 20, 2023	Direct	F1
holding	LMFA	Common Stock						92.5K	Apr 20, 2023	By CGR63, LLC	F2
holding	LMFA	Common Stock						823	Apr 20, 2023	BRR Holding, LLC	F3
holding	LMFA	Common Stock						118	Apr 20, 2023	Bruce M. Rodgers IRA
holding	LMFA	Common Stock						40	Apr 20, 2023	Carollinn Gould IRA

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
transaction	LMFA	Stock Option (right to buy)	Award	$0	+1M		$0.00	1M	Apr 20, 2023	Common Stock	1M	$0.75	Direct	F4, F5

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	Award of restricted stock granted to reporting person under the 2021 Omnibus Incentive Plan (the "Plan"). The shares of restricted stock shall vest monthly over a period of twelve (12) months.
F2	CGR63, LLC is owned by the Bruce M. Rodgers Revocable Trust and the Carolinn Gould Revocable Trust.
F3	Bruce M. Rogers and Carollinn Gould, husband and wife, and their family, including trusts or custodial accounts of minor children of each of Mr. Rodgers and Ms. Gould, own 100% of the outstanding membership interests of BRR Holding, LLC. The reporting person disclaims beneficial ownership of these shares except to the extent of the reporting person's pecuniary interest in the shares.
F4	This amendment is filed to correct the exercise price of the stock option which was originally reported as $0.714. The correct exercise price is $0.751 as set forth in this amendment.
F5	Options were granted under the Plan. Options will vest as to one-half of the option shares on April 20, 2024, and as to one-half of the option shares on April 20, 2025 subject to acceleration of vesting upon a Change of Control (as defined in the Plan) or upon the Issuer attaining certain performance milestones.