Key facts
- This page summarizes DFP Sponsor LLC's Form 4 filing for Oncology Institute, Inc. (TOI).
- 4 reported transactions and 3 derivative rows are listed below.
- Accepted by SEC: 16 Nov 2021, 20:36.
DFP Sponsor LLC - 12 Nov 2021 Form 4 Insider Report for Oncology Institute, Inc. (TOI)
- Reporting relationship
- Possible Members of 10% Group, 10%+ Owner
- Issuer ticker
- TOI
- Reported as of
- 12 Nov 2021
- Net transaction value
- $0
- Reporting owner signature
- /s/ Lawrence Atinsky
Source evidence
Original filing metadata and source links for verification.
3 source fields
Reporting owner
1 detail
Key filing fact
DFP Sponsor LLC filed Form 4 for Oncology Institute, Inc. (TOI) on 16 Nov 2021.
Change
- No earlier filing in this sequence is available for direct comparison.
- Current net transaction value: $0.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
TOIIW
transaction
Class A Common Stock
Conversion of derivative security
- Transaction value
- Shares
- +40
- Change %
- Price
- Shares after
- 40
- Date
- 12 Nov 2021
- Ownership
- Direct
- Footnotes
- F1, F2, F3
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
TOIIW
transaction
Derivative
Class B Common Stock
Other
- Transaction value
- $0
- Shares
- -707,960
- Change %
- -100%
- Price
- $0.000000
- Shares after
- 40
- Date
- 12 Nov 2021
- Ownership
- Direct
- Underlying class
- Class A Common Stock
- Underlying amount
- 707,960
- Exercise price
- Footnotes
- F2, F3, F4, F5
TOIIW
transaction
Derivative
Class B Common Stock
Conversion of derivative security
- Transaction value
- $0
- Shares
- -40
- Change %
- -100%
- Price
- $0.000000*
- Shares after
- 0
- Date
- 12 Nov 2021
- Ownership
- Direct
- Underlying class
- Class A Common Stock
- Underlying amount
- 40
- Exercise price
- Footnotes
- F1, F2, F3, F4
TOIIW
transaction
Derivative
Private Placement Warrants
Other
- Transaction value
- Shares
- +3,177,543
- Change %
- Price
- Shares after
- 3,177,543
- Date
- 12 Nov 2021
- Ownership
- Direct
- Underlying class
- Class A Common Stock
- Underlying amount
- 3,177,543
- Exercise price
- $11.50
- Footnotes
- F2, F3, F6
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Section 16 status
DFP Sponsor LLC is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may still apply in specific circumstances.
Explanation of responses 6 footnotes
Footnote F1
Upon the closing of the Issuer's initial business combination, each share of Class B Common Stock converted (automatically in accordance with its terms) into one share of Class A Common Stock for no consideration.
Footnote F2
This Form 4 is being filed by DFP Sponsor, LLC (the "Sponsor"), as well as Steven Hochberg and Lawrence Atinsky, each of whom is a manager of the Sponsor.
Footnote F3
In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Sponsor is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each or Steven Hochberg and Lawrence Atinsky disclaims beneficial ownership of any such securities, except to the extent of his indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that Mr. Hochberg or Mr. Atinsky is the beneficial owner of such securities for purposes of Section 16 or otherwise.
Footnote F4
The shares of Class B Common Stock were convertible into shares of the Issuer's Class A Common Stock as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-236578) and had no expiration date.
Footnote F5
In connection with, and immediately prior to, the closing of the Issuer's initial business combination, pursuant to the Stockholder Support Agreement, dated as of June 28, 2021, the Sponsor forfeited 707,960 shares of Class B Common Stock for no consideration.
Footnote F6
The Sponsor acquired the Private Placement Warrants from the Issuer in connection with the Issuer's initial public offering on March 13, 2020. As a result of the closing of the Issuer's initial business combination, the Private Placement Warrants will become exercisable as of the date that is 30 days after the closing of the Issuer's initial business combination (i.e., November 12, 2021). The Private Placement Warrants will expire on November 12, 2026 or earlier upon redemption or liquidation. Prior to the closing of the Issuer's initial business combination, the Sponsor elected to be governed by a Maximum Percentage (as defined in the Private Placement Warrants) of 4.9%.