Statement of Changes in Beneficial Ownership (4)
October 20 2020 - 7:45PM
Edgar (US Regulatory)
FORM 4
[ ]
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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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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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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COHEN DANIEL G |
2. Issuer Name and Ticker or Trading Symbol
Fintech Acquisition Corp. III
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FTAC
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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)
C/O FINTECH ACQUISITION CORP. III, 2929 ARCH STREET, SUITE 1703 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/16/2020 |
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(Street)
PHILADELPHIA, PA 19104
(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 | 10/16/2020 | | M | | 1091330 | A | (4) | 1091330 (7) | I | By Cohen Sponsor Interests III, LLC (5) |
| Class A Common Stock | 10/16/2020 | | M | | 1091330 | A | (4) | 1091330 (7) | I | By DGC Family FinTech Trust (5)(6) |
| Class A Common Stock | 10/16/2020 | | A | | 200000 | A | $10 | 200000 (7) | I | By Betsy Z Cohen Trust dated 10/7/99 |
| Class A Common Stock | 10/16/2020 | | A | | 200000 | A | $10 | 200000 (7) | I | By Edward E Cohen Trust dated 10/7/99 |
| Class A Common Stock | 10/16/2020 | | A | | 150000 | A | $10 | 150000 (7) | I | By The Betsy and Edward Cohen 2012 Grandchildren Trust dated 5/22/2012 |
| Class A Common Stock | 10/16/2020 | | A | | 200000 | A | $10 | 200000 (7) | I | By The 2019 Grandchildren's Trust dated 6/26/2020 |
| Class A Common Stock | 10/16/2020 | | A | | 300000 | A | $10 | 300000 (7) | I | By DGC Family FinTech Trust (3) |
| Class A Common Stock | 10/16/2020 | | A | | 200000 | A | $10 | 200000 | D | |
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) | 10/16/2020 | | J (2) | | | 68334 | (1) | (1) | Class A Common Stock | 68334 | $0.0028 | 1248570 (7) | I | By Cohen Sponsor Interests III, LLC (5) |
| Class B Common Stock | (1) | 10/16/2020 | | J (2) | | | 68334 | (1) | (1) | Class A Common Stock | 68334 | $0.0028 | 1248570 (7) | I | By DGC Family FinTech Trust (5)(6) |
| Class B Common Stock | (1) | 10/16/2020 | | J (3) | | | 157241 | (1) | (1) | Class A Common Stock | 157241 | (3) | 1091330 (7) | I | By Cohen Sponsor Interests III, LLC (5) |
| Class B Common Stock | (1) | 10/16/2020 | | J (3) | | | 157241 | (1) | (1) | Class A Common Stock | 157241 | (3) | 1091330 (7) | I | By DGC Family FinTech Trust (5)(6) |
| Class B Common Stock | (1) | 10/16/2020 | | J (3) | | | 22332 | (1) | (1) | Class A Common Stock | 22332 | (3) | 77668 (7)(8) | I | By FinTech Masala Advisors, LLC |
| Class B Common Stock | (1) | 10/16/2020 | | J (3) | | | 22332 | (1) | (1) | Class A Common Stock | 22332 | (3) | 77668 (7)(9) | I | By DGC Family FinTech Trust (6) |
| Class B Common Stock | (4) | 10/16/2020 | | M | | | 1091330 | (4) | (4) | Class A Common Stock | 1091330 | (4) | 0 | I | By Cohen Sponsor Interests III, LLC (5) |
| Class B Common Stock | (4) | 10/16/2020 | | M | | | 1091330 | (4) | (4) | Class A Common Stock | 1091330 | (4) | 0 | I | By DGC Family FinTech Trust (5)(6) |
| Explanation of Responses: |
| (1) | The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. |
| (2) | Represents transfer of membership interests to other members of the issuer's sponsors at the original purchase price. |
| (3) | Represents shares of Class B common stock forfeited to the issuer for no consideration in connection with the issuer's initial business combination. |
| (4) | The shares of Class B common stock automatically converted into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis and have no expiration date. |
| (5) | These shares are held directly by the issuer's sponsors, FinTech Investor Holdings III, LLC, FinTech Masala Advisors, LLC and 3FIII, LLC, each of which is managed by Cohen Sponsor Interests III, LLC. The reporting person is an indirect owner of Cohen Sponsor Interests III, LLC. |
| (6) | DGC Family FinTech Trust is an indirect owner of Cohen Sponsor Interests III, LLC. The children of the reporting person are the beneficiaries of DGC Family FinTech Trust. |
| (7) | The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for any other purpose. |
| (8) | Allocated to the reporting person as a member of FinTech Masala Advisors, LLC. |
| (9) | Allocated to DGC Family FinTech Trust as a member of FinTech Masala Advisors, LLC. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
COHEN DANIEL G
C/O FINTECH ACQUISITION CORP. III
2929 ARCH STREET, SUITE 1703
PHILADELPHIA, PA 19104 |
| X |
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Signatures
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| /s/ Daniel G. Cohen | | 10/20/2020 |
| **Signature of Reporting Person | Date |
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