| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | DFH | Class A common stock, par value $0.01 per share | Tax liability | -$1.87M | -56.5K | -7.6% | $33.04 | 688K | Jan 21, 2024 | Direct | F1, F2 |
| holding | DFH | Class B common stock, par value $0.01 per share | 58.8M | Jan 21, 2024 | Direct | F3 | |||||
| holding | DFH | Class B common stock, par value $0.01 per share | 809K | Jan 21, 2024 | By trust | F3, F4 | |||||
| holding | DFH | Class B common stock, par value $0.01 per share | 596K | Jan 21, 2024 | See footnote | F3, F5 |
Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.
Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).
| Id | Content |
|---|---|
| F1 | Withholding of shares upon vesting by the Company to satisfy tax liability. |
| F2 | Includes 8,990 shares held in a 401(k) account. |
| F3 | Each share of Class B Common Stock is convertible at the option of the reporting person into one share of Class A Common Stock of Dream Finders Homes, Inc. and has no expiration date. |
| F4 | Shares contributed to trust established for the benefit of the reporting person's children. |
| F5 | Shares held by POZ Holdings, Inc., which is controlled by the reporting person. |