NOMURA SECURITIES INTERNATIONAL INC 4

Accession 0001140361-22-026013

CIK 0001802450other

View on SEC.gov Company Profile

Filed

Jul 13, 8:00 PM ET

Accepted

Jul 14, 4:30 PM ET

Size

32.9 KB

Accession

0001140361-22-026013

Insider Transaction Report

Form 4

Period: 2022-06-01

MSP Recovery, Inc.MSPR

NOMURA SECURITIES INTERNATIONAL INC

10% Owner

Transactions

Exercise of In-Money
Class A Common Stock
2022-06-16$0.00/sh+50,000$5→ 187,500 total
Sale
Class A Common Stock
2022-06-02$1.28/sh−1,370$1,754→ 137,500 total
Sale
Class A Common Stock
2022-06-16$0.00/sh−5$0→ 187,495 total
Sale
Warrant (right to buy)
2022-06-02$1.10/sh−25,000$27,500→ 177,500 total
Exercise: $0.00From: 2022-06-22Exp: 2027-05-23→ Class A Common Stock (25,000 underlying)
Sale
Class A Common Stock
2022-06-23$2.43/sh−9,995$24,288→ 177,500 total
Sale
Warrant (right to buy)
2022-06-01$0.91/sh−75,000$68,063→ 202,500 total
Exercise: $0.00From: 2022-06-22Exp: 2027-05-23→ Class A Common Stock (75,000 underlying)
Sale
Warrant (right to buy)
2022-06-06$0.07/sh−14$1→ 16,386,646 total
Exercise: $11.50From: 2022-06-22Exp: 2027-05-23→ Class A Common Stock (14 underlying)
Sale
Warrant (right to buy)
2022-06-07$1.13/sh−24,700$27,938→ 152,800 total
Exercise: $0.00From: 2022-06-22Exp: 2027-05-23→ Class A Common Stock (24,700 underlying)
Sale
Warrant (right to buy)
2022-06-08$1.17/sh−13,957$16,358→ 138,843 total
Exercise: $0.00From: 2022-06-22Exp: 2027-05-23→ Class A Common Stock (13,957 underlying)
Sale
Warrant (right to buy)
2022-06-10$1.08/sh−39,906$43,110→ 98,937 total
Exercise: $0.00From: 2022-06-22Exp: 2027-05-23→ Class A Common Stock (39,906 underlying)
Sale
Warrant (right to buy)
2022-06-10$0.06/sh−61,646$3,822→ 16,325,000 total
Exercise: $11.50From: 2022-06-22Exp: 2027-05-23→ Class A Common Stock (61,646 underlying)
Sale
Warrant (right to buy)
2022-06-14$1.28/sh−21,437$27,444→ 77,500 total
Exercise: $0.00From: 2022-06-22Exp: 2027-05-23→ Class A Common Stock (21,437 underlying)
Exercise of In-Money
Warrant (right to buy)
2022-06-16−50,000→ 27,500 total
Exercise: $0.00From: 2022-06-22Exp: 2027-05-23→ Class A Common Stock (50,000 underlying)

Footnotes (9)

[F1]These shares of Common Stock are owned by Nomura Securities International, Inc. ("NSI"). NSI is a wholly owned indirect subsidiary of Nomura Holdings, Inc. which accordingly may be deemed to beneficially own the shares owned by NSI.
[F2]Represents shares withheld in connection with a cashless exercise of warrants to purchase 50,000 shares of Common Stock at an exercise price of $0.0001 per share.
[F3]Unless earlier redeemed by the Issuer.
[F4]The price reported in Column 8 is a weighted average price. These warrants were sold in multiple transactions at prices ranging from $0.85 to $1.02, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of warrants sold at each separate price within the range set forth herein.
[F5]The price reported in Column 8 is a weighted average price. These warrants were sold in multiple transactions at prices ranging from $1.1 to $1.11, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of warrants sold at each separate price within the range set forth herein.
[F6]The price reported in Column 8 is a weighted average price. These warrants were sold in multiple transactions at prices ranging from $1.13 to $1.14, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of warrants sold at each separate price within the range set forth herein.
[F7]The price reported in Column 8 is a weighted average price. These warrants were sold in multiple transactions at prices ranging from $1.17 to $1.19, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of warrants sold at each separate price within the range set forth herein
[F8]The price reported in Column 8 is a weighted average price. These warrants were sold in multiple transactions at prices ranging from $1.08 to $1.1, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of warrants sold at each separate price within the range set forth herein.
[F9]The price reported in Column 8 is a weighted average price. These warrants were sold in multiple transactions at prices ranging from $1.28 to $1.29, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of warrants sold at each separate price within the range set forth herein.

Documents

1 file

4
form4.xmlPrimary
FORM 4

Issuer

MSP Recovery, Inc.

CIK 0001802450

→

Entity typeother

IncorporatedNY

Related Parties

filerCIK 0000902266

Filing Metadata

Form type: 4
Filed: Jul 13, 8:00 PM ET
Accepted: Jul 14, 4:30 PM ET
Size: 32.9 KB

View on SEC.gov