Gould Carollinn 4

4 · LM FUNDING AMERICA, INC. · Filed Nov 1, 2021

Form 4

Period: 2021-10-28

Director10% Owner

Transactions

Award
Stock Option (right to buy)
2021-10-28+10,084→ 10,084 total
Exercise: $5.95Exp: 2031-10-28→ Common Stock (10,084 underlying)

Holdings

Footnotes (2)

[F1]Bruce M. Rogers and Carollinn Gould, husband and wife, and their family, including trusts or custodial accounts of minor children of each of Mr. Rodgers and Ms. Gould, own 100% of the outstanding membership interests of BRR Holding, LLC. The reporting person disclaims beneficial ownership of these shares except to the extent of the reporting person's pecuniary interest in the shares.
[F2]Options were granted under the LM Funding America, Inc. 2021 Omnibus Incentive Plan ("Plan"). Options will vest as to one-half of the option shares on April 26, 2022, and as to one-half of the option shares on October 28, 2022, subject to acceleration of vesting upon a Change of Control (as defined in the Plan) or upon the Issuer's common stock achieving a closing price of greater than $12.00 for 10 consecutive trading days. Notwithstanding, the options will not be exercisable unless and until the Plan is approved by the Issuer's stockholders within one year of grant date.

Documents

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