NOMURA SECURITIES INTERNATIONAL INC 4/A

Accession 0001140361-22-026968

CIK 0001802450other

View on SEC.gov Company Profile

Filed

Jul 25, 8:00 PM ET

Accepted

Jul 26, 4:00 PM ET

Size

29.7 KB

Accession

0001140361-22-026968

Insider Transaction Report

Form 4/AAmended

Period: 2022-06-01

MSP Recovery, Inc.MSPR

NOMURA SECURITIES INTERNATIONAL INC

10% Owner

Transactions

Sale
Warrant (right to buy)
2022-06-14$1.28/sh−21,437$27,444→ 77,500 total
Exercise: $0.00From: 2022-06-02Exp: 2027-05-23→ Class A Common Stock (21,437 underlying)
Exercise of In-Money
Class A Common Stock
2022-06-16$0.00/sh+50,000$5→ 352,499 total
Sale
Class A Common Stock
2022-06-02$1.28/sh−1,370$1,754→ 302,499 total
Sale
Class A Common Stock
2022-06-16$0.00/sh−5$0→ 352,494 total
Exercise of In-Money
Warrant (right to buy)
2022-06-16−50,000→ 27,500 total
Exercise: $0.00From: 2022-06-02Exp: 2027-05-23→ Class A Common Stock (50,000 underlying)
Sale
Class A Common Stock
2022-06-23$2.43/sh−9,995$24,288→ 342,499 total
Sale
Warrant (right to buy)
2022-06-01$0.91/sh−75,000$68,063→ 202,500 total
Exercise: $0.00From: 2022-06-02Exp: 2027-05-23→ Class A Common Stock (75,000 underlying)
Sale
Warrant (right to buy)
2022-06-02$1.10/sh−25,000$27,500→ 177,500 total
Exercise: $0.00From: 2022-06-02Exp: 2027-05-23→ Class A Common Stock (25,000 underlying)
Sale
Warrant (right to buy)
2022-06-08$1.17/sh−13,957$16,358→ 138,843 total
Exercise: $0.00From: 2022-06-02Exp: 2027-05-23→ Class A Common Stock (13,957 underlying)
Sale
Warrant (right to buy)
2022-06-07$1.13/sh−24,700$27,938→ 152,800 total
Exercise: $0.00From: 2022-06-02Exp: 2027-05-23→ Class A Common Stock (24,700 underlying)
Sale
Warrant (right to buy)
2022-06-10$1.08/sh−39,906$43,110→ 98,937 total
Exercise: $0.00From: 2022-06-02Exp: 2027-05-23→ Class A Common Stock (39,906 underlying)

Footnotes (10)

[F1]These securities 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.
[F10]This Form 4 amendment is being filed to (1) correct the total number of shares of Class A Common Stock beneficially owned by the Reporting Persons following each transaction reported herein, by adding 164,999 shares that were inadvertently omitted from the original Form 4, and (2) correct the Date Exercisable for the reported Warrants with a $0.0001 strike price.
[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.xml
FORM 4/A

Issuer

MSP Recovery, Inc.

CIK 0001802450

→

Entity typeother

IncorporatedNY

Related Parties

filerCIK 0000902266

Filing Metadata

Form type: 4/A
Filed: Jul 25, 8:00 PM ET
Accepted: Jul 26, 4:00 PM ET
Size: 29.7 KB

View on SEC.gov