Statement of Changes in Beneficial Ownership (4)
20 November 2020 - 8:17AM
Edgar (US Regulatory)
FORM 4
[X]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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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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1. Name and Address of Reporting Person
*
CF Finance Holdings LLC |
2. Issuer Name and Ticker or Trading Symbol
CF Finance Acquisition Corp.
[
CFFA
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
110 EAST 59TH STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/17/2020 |
(Street)
NEW YORK, NY 10022
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
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X
_ Form filed by More than One Reporting Person
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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)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Class A Common Stock | 11/17/2020 | | D | | 600000 | D | (2) | 0 | I | See Footnote (3) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 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 of Derivative Security: 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 |
Class B Common Stock | (1) | 11/17/2020 | | D (2) | | | 7054603 | (1) | (1) | Class A Common Stock | 7054603 | $0.00 | 0 | I | See Footnote (3) |
Explanation of Responses: |
(1) | As described in the issuer's registration statement on Form S-1 (File No. 333-228420) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock automatically convert into shares of Class A common stock at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights. |
(2) | Pursuant to a business combination between the issuer and GCM Grosvenor Inc., these shares were converted into shares of GCM Grosvenor Inc. on the effective date of the business combination |
(3) | The Sponsor is the record holder of the securities reported herein. Cantor Fitzgerald, L.P. ("Cantor") is the sole member of the Sponsor. CF Group Management, Inc. is the managing general partner of Cantor. Mr. Lutnick is Chairman and Chief Executive of CF Group Management, Inc. ("CFGM") and trustee of CFGM's sole stockholder. As such, each of Cantor, CFGM and Mr. Lutnick may be deemed to have beneficial ownership of the securities directly held by the Sponsor. Each such entity or person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest they may have therein, directly or indirectly. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
CF Finance Holdings LLC 110 EAST 59TH STREET NEW YORK, NY 10022 |
| X |
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CANTOR FITZGERALD, L. P. 110 EAST 59TH STREET NEW YORK, NY 10022 |
| X |
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CF GROUP MANAGEMENT INC 110 EAST 59TH STREET NEW YORK, NY 10022 |
| X |
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LUTNICK HOWARD W 110 EAST 59TH STREET NEW YORK, NY 10022 | X |
| CEO |
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Signatures
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/s/ Howard Lutnick | | 11/19/2020 |
**Signature of Reporting Person | Date |
/s/ Howard Lutnick, as Chief Executive Officer of CF Finance Holdings LLC | | 11/19/2020 |
**Signature of Reporting Person | Date |
/s/ Howard Lutnick, as Chief Executive Officer of Cantor Fitzgerald, L.P. | | 11/19/2020 |
**Signature of Reporting Person | Date |
/s/ Howard Lutnick, as Chief Executive Officer of CF Group Management Inc. | | 11/19/2020 |
**Signature of Reporting Person | Date |
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