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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Options (Right to Buy) | $ 0.13 | 09/22/2021 | A | 1,422,556 | (2) | 12/30/2026 | Class A Common Stock | 1,422,556 | $ 0 | 1,422,556 | D | ||||
Stock Options (Right to Buy) | $ 0.22 | 09/22/2021 | A | 1,476,701 | (3) | 11/14/2027 | Class A Common Stock | 1,476,701 | $ 0 | 1,476,701 | D | ||||
Stock Options (Right to Buy) | $ 0.22 | 09/22/2021 | M | 333,291 | (1) | 11/14/2027 | Class A Common Stock | 333,291 | $ 0 | 1,143,410 | D | ||||
Stock Options (Right to Buy) | $ 0.4 | 09/22/2021 | A | 459,451 | (4) | 10/31/2028 | Class A Common Stock | 459,451 | $ 0 | 459,451 | D | ||||
Stock Options (Right to Buy) | $ 0.4 | 09/22/2021 | M | 233,377 | (1) | 10/31/2028 | Class A Common Stock | 233,377 | $ 0 | 226,074 | D | ||||
Stock Options (Right to Buy) | $ 0.4 | 09/22/2021 | A | 2,871,364 | (5) | 09/20/2029 | Class A Common Stock | 2,871,364 | $ 0 | 2,871,364 | D | ||||
Stock Options (Right to Buy) | $ 0.59 | 09/22/2021 | A | 164,078 | (6) | 04/30/2030 | Class A Common Stock | 164,078 | $ 0 | 164,078 | D | ||||
Stock Options (Right to Buy) | $ 2.58 | 09/22/2021 | A | 1,069,230 | (7) | 01/31/2031 | Class A Common Stock | 1,069,230 | $ 0 | 1,069,230 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Correia Richard C/O MONEYLION INC 30 WEST 21ST STREET, 9TH FLOOR NEW YORK, NY 10010 |
Chief Financial Officer |
/s/ Adam VanWagner, as Attorney-in-Fact for Richard Correia | 09/24/2021 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | In connection with the Issuer's business combination (the "Business Combination") with MoneyLion Inc., now known as MoneyLion Technologies Inc. ("Legacy ML") in accordance with the terms of the Agreement and Plan of Merger, dated February 11, 2021, as amended on June 28, 2021 and September 4, 2021, by and among the Issuer (f/k/a Fusion Acquisition Corp.), ML Merger Sub Inc. ("Merger Sub") and Legacy ML (the "Merger Agreement"), pursuant to which Merger Sub merged with and into Legacy ML, with Legacy ML surviving the merger as a wholly-owned subsidiary of the Issuer, the Reporting Person exercised options which such resulting shares of Class A Common Stock were simultaneously acquired shares to the Issuer. |
(2) | The option vests 25% on the first anniversary of December 31, 2016 and in equal monthly installments thereafter until it is fully vested on the fourth anniversary of such date. The stock option was received in the Business Combination in exchange for a stock option to acquire shares of Legacy ML common stock. |
(3) | The option vests 25% on the first anniversary of November 15, 2017 and in equal monthly installments thereafter until it is fully vested on the fourth anniversary of such date. The stock option was received in the Business Combination in exchange for a stock option to acquire shares of Legacy ML common stock. |
(4) | The option vests 25% on the first anniversary of November 1, 2018 and in equal monthly installments thereafter until it is fully vested on the fourth anniversary of such date. The stock option was received in the Business Combination in exchange for a stock option to acquire shares of Legacy ML common stock. |
(5) | The option vests 25% on the first anniversary of September 21, 2019 and in equal monthly installments thereafter until it is fully vested on the fourth anniversary of such date. The stock option was received in the Business Combination in exchange for a stock option to acquire shares of Legacy ML common stock. |
(6) | The option vests 25% on the first anniversary of May 1, 2020 and in equal monthly installments thereafter until it is fully vested on the fourth anniversary of such date. The stock option was received in the Business Combination in exchange for a stock option to acquire shares of Legacy ML common stock. |
(7) | The option vests 25% on the first anniversary of February 1, 2021 and in equal monthly installments thereafter until it is fully vested on the fourth anniversary of such date. The stock option was received in the Business Combination in exchange for a stock option to acquire shares of Legacy ML common stock. |