Statement of Changes in Beneficial Ownership (4)
24 June 2022 - 7:06AM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
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
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Aquila Tony |
2. Issuer Name and Ticker or Trading Symbol
WM TECHNOLOGY, INC.
[
MAPS
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O WM TECHNOLOGY, INC., 41 DISCOVERY |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/21/2022 |
(Street)
IRVINE, CA 92618
(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)
_X
_ Form filed by One Reporting Person
___ 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 | 6/21/2022 | | A | | 41493 (1) | A | $0.00 | 1321773 | D | |
Class A Common Stock | | | | | | | | 2500000 | I | By LLC (2) |
Class A Common Stock | | | | | | | | 1100000 | I | By LLC (3) |
Class A Common Stock | | | | | | | | 50000 | I | By Trust (4) |
Class A Common Stock | | | | | | | | 50000 | I | By Trust (5) |
Class A Common Stock | | | | | | | | 50000 | I | By Trust (6) |
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 |
Explanation of Responses: |
(1) | Represents the number of shares of Common Stock underlying restricted stock units ("RSUs"). Each RSU represents the contingent right to receive one share of the Issuer's Common Stock. The RSUs will fully vest on the earlier of June 21, 2023 or the date of the Issuer's next annual meeting of stockholders, subject to acceleration, and subject to the Reporting Person's Continuous Service (as defined in the Issuer's 2021 Equity Incentive Plan) through such vesting date. |
(2) | Shares are held directly by AFV Partners SPV-5 (WM) LLC ("AFV 5"). Reporting Person is the Chairman and CEO of AFV Partners LLC, which exercises ultimate voting and investment power with respect to the shares held by AFV 5. Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein. |
(3) | Shares are held directly by AFV Partners SPV-6 (WM) LLC ("AFV 6"). Reporting Person is the Chairman and CEO of AFV Partners LLC, which exercises ultimate voting and investment power with respect to the shares held by AFV 6. Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein. |
(4) | Shares are held directly by Aquila 2007 Irrevocable Trust U/A FBO Elliott Aquila DTD 05/10/2007 (the "Elliott Trust"). Reporting Person is a co-trustee of the Elliot Trust and as such may be deemed to hold voting and dispositive power with respect to the shares held in the Elliott Trust. |
(5) | Shares are held directly by Aquila 2007 Irrevocable Trust U/A FBO Cecily Aquila DTD 05/10/2007 (the "Cecily Trust"). Reporting Person is a co-trustee of the Cecily Trust and as such may be deemed to hold voting and dispositive power with respect to the shares held in the Cecily Trust. |
(6) | Shares are held directly by Aquila 2007 Irrevocable Trust U/A FBO Christopher Aquila DTD 05/10/2007 (the "Christopher Trust"). Reporting Person is a co-trustee of the Christopher Trust and as such may be deemed to hold voting and dispositive power with respect to the shares held in the Christopher Trust. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Aquila Tony C/O WM TECHNOLOGY, INC. 41 DISCOVERY IRVINE, CA 92618 | X |
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Signatures
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Tony Aquila, by /s/ Ron A. Metzger, Attorney-in-Fact | | 6/23/2022 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | 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). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
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. |
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