FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person
*
(Street)
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2. Issuer Name
and
Ticker or Trading Symbol
Finance of America Companies Inc. [ FOA ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 08/08/2022 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check
Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Class A Common Stock | 08/08/2022 | C (1) | 222,591 | A | (1) | 222,591 | I | See Footnotes (3) (6) (7) (8) (11) (12) (13) (14) | ||
Class A Common Stock | 08/08/2022 | J (2) | 222,591 | D | $ 0 (2) | 0 | I | See Footnotes (3) (6) (7) (8) (11) (12) (13) (14) | ||
Class A Common Stock | 08/08/2022 | C (1) | 1,278 | A | (1) | 1,278 | I | See Footnotes (4) (9) (11) (12) (13) (14) | ||
Class A Common Stock | 08/08/2022 | J (2) | 1,278 | D | $ 0 (2) | 0 | I | See Footnotes (4) (9) (11) (12) (13) (14) | ||
Class A Common Stock | 08/08/2022 | J (2) | 97,429 | D | $ 0 (2) | 21,716,405 | I | See Footnotes (5) (10) (11) (12) (13) (14) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
LLC Units of Finance of America Equity Capital LLC | (1) | 08/08/2022 | C (1) | 222,591 | (1) | (1) | Class A Common Stock | 222,591 | $ 0 | 49,614,214 | I | See Footnotes (3) (6) (7) (8) (11) (12) (13) (14) | |||
LLC Units of Finance of America Equity Capital LLC | (1) | 08/08/2022 | C (1) | 1,278 | (1) | (1) | Class A Common Stock | 1,278 | $ 0 | 284,812 | I | See Footnotes (4) (9) (11) (12) (13) (14) |
BLACKSTONE TACTICAL OPPORTUNITIES FUND - U - NQ L.L.C. By: Blackstone Tactical Opportunities Associates - NQ LLC, its general partner By: /s/ Christopher J. James, Name: Christopher J. James, Title: Chief Operating Officer | 08/10/2022 | |
** Signature of Reporting Person | Date | |
BLACKSTONE TACTICAL OPPORTUNITIES FUND II - C - NQ L.P. By: Blackstone Tactical Opportunities Associates - NQ LLC, its GP By: BTOA-NQ LLC, its SM By: /s/ Christopher J. James, Name: Christopher J. James, Title: Chief Operating Officer | 08/10/2022 | |
** Signature of Reporting Person | Date | |
BLACKSTONE TACTICAL OPPORTUNITIES FUND - T - NQ L.P. By: Blackstone Tactical Opportunities Associates - NQ LLC, its GP By: BTOA-NQ LLC, its SM By: /s/ Christopher J. James, Name: Christopher J. James, Title: Chief Operating Officer | 08/10/2022 | |
** Signature of Reporting Person | Date | |
BTAS NQ HOLDINGS L.L.C., By: BTAS Associates - NQ L.L.C., its managing member, By: BTOA-NQ L.L.C., its sole member, By: /s/ Christopher Striano, Name: Christopher Striano, Title: Senior Managing Director | 08/10/2022 | |
** Signature of Reporting Person | Date | |
BTAS ASSOCIATES - NQ L.L.C., By: BTOA-NQ L.L.C., its sole member, By: /s/ Christopher Striano, Name: Christopher Striano, Title: Senior Managing Director | 08/10/2022 | |
** Signature of Reporting Person | Date | |
BLACKSTONE FAMILY TACTICAL OPPORTUNITIES INVESTMENT PARTNERSHIP SMD L.P., By: Blackstone Family GP L.L.C., its general partner, By: /s/ Tabea Hsi, Name: Tabea Hsi, Title: Senior Managing Director | 08/10/2022 | |
** Signature of Reporting Person | Date | |
BLACKSTONE FAMILY GP L.L.C., By: /s/ Tabea Hsi, Name: Tabea Hsi, Title: Senior Managing Director | 08/10/2022 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |