Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(
e.g.
, puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Transaction Date (MM/DD/YY)
|
3A. Deemed Execution Date, if any (MM/DD/YY)
|
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
(MM/DD/YY)
|
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)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Convertible Preferred Units in Focus Financial Partners, LLC |
(
1
) |
07/30/2018 |
|
A(
1
) |
|
58,495 |
|
(
1
) |
(
1
) |
Common Units in Focus Financial Partners, LLC |
58,495 |
$
0 |
58,495 |
D |
|
Convertible Preferred Units in Focus Financial Partners, LLC |
(
1
) |
07/30/2018 |
|
M(
1
) |
|
|
58,495 |
(
1
) |
(
1
) |
Common Units in Focus Financial Partners, LLC |
58,495 |
$
0 |
0 |
D |
|
Common Units in Focus Financial Partners, LLC |
(
2
) |
07/30/2018 |
|
M(
1
) |
|
58,495 |
|
(
2
) |
(
2
) |
Class A Common Stock |
58,495 |
$
0 |
58,495 |
D |
|
Common Units in Focus Financial Partners, LLC |
(
2
) |
07/30/2018 |
|
A(
2
) |
|
160,450 |
|
(
2
) |
(
2
) |
Class A Common Stock |
160,450 |
$
0 |
160,450 |
I |
By Adolf Family Trust II (
11
) |
Incentive Units in Focus Financial Partners, LLC |
$
1.42 (
3
) |
07/30/2018 |
|
A(
4
) |
|
175,421 |
|
(
4
) |
(
4
) |
Class A Common Stock |
(
4
) |
$
0 |
175,421 |
D |
|
Incentive Units in Focus Financial Partners, LLC |
$
5.5 (
3
) |
07/30/2018 |
|
A(
4
) |
|
97,798 |
|
(
4
) |
(
4
) |
Class A Common Stock |
(
4
) |
$
0 |
97,798 |
D |
|
Incentive Units in Focus Financial Partners, LLC |
$
6 (
3
) |
07/30/2018 |
|
A(
4
) |
|
46,386 |
|
(
4
) |
(
4
) |
Class A Common Stock |
(
4
) |
$
0 |
46,386 |
D |
|
Incentive Units in Focus Financial Partners, LLC |
$
9 (
3
) |
07/30/2018 |
|
A(
4
) |
|
757,000 |
|
(
4
) |
(
4
) |
Class A Common Stock |
(
4
) |
$
0 |
757,000 |
D |
|
Incentive Units in Focus Financial Partners, LLC |
$
7 (
3
) |
07/30/2018 |
|
A(
4
) |
|
337,081 |
|
(
4
) |
(
4
) |
Class A Common Stock |
(
4
) |
$
0 |
337,081 |
D |
|
Incentive Units in Focus Financial Partners, LLC |
$
16 (
3
) |
07/30/2018 |
|
A(
4
) |
|
16,511 |
|
(
4
) |
(
4
) |
Class A Common Stock |
(
4
) |
$
0 |
16,511 |
D |
|
Incentive Units in Focus Financial Partners, LLC |
$
11 (
3
) |
07/30/2018 |
|
A(
4
) |
|
220,000 |
|
(
4
) |
(
4
) |
Class A Common Stock |
(
4
) |
$
0 |
220,000 |
D |
|
Incentive Units in Focus Financial Partners, LLC |
$
13 (
3
) |
07/30/2018 |
|
A(
4
) |
|
195,000 |
|
(
4
) |
(
4
) |
Class A Common Stock |
(
4
) |
$
0 |
195,000 |
D |
|
Incentive Units in Focus Financial Partners, LLC |
$
19 (
3
) |
07/30/2018 |
|
A(
4
) |
|
200,000 |
|
(
4
) |
(
4
) |
Class A Common Stock |
(
4
) |
$
0 |
200,000 |
D |
|
Incentive Units in Focus Financial Partners, LLC |
$
21 (
3
) |
07/30/2018 |
|
A(
4
) |
|
190,500 |
|
(
4
) |
(
4
) |
Class A Common Stock |
(
4
) |
$
0 |
190,500 |
D |
|
Incentive Units in Focus Financial Partners, LLC |
$
21 (
3
) |
07/30/2018 |
|
A(
5
) |
|
725,000 |
|
(
6
)(
7
) |
(
6
)(
7
) |
Class A Common Stock |
(
5
) |
$
0 |
725,000 |
D |
|
Incentive Units in Focus Financial Partners, LLC |
$
23 (
3
) |
07/30/2018 |
|
A(
5
) |
|
206,284 |
|
(
8
) |
(
8
) |
Class A Common Stock |
(
5
) |
$
0 |
206,284 |
D |
|
Incentive Units in Focus Financial Partners, LLC |
$
33 (
3
) |
07/30/2018 |
|
A(
5
) |
|
800,000 |
|
(
9
)(
10
) |
(
9
)(
10
) |
Class A Common Stock |
(
5
) |
$
0 |
800,000 |
D |
|
Incentive Units in Focus Financial Partners, LLC |
$
11 (
3
) |
07/30/2018 |
|
A(
4
) |
|
90,000 |
|
(
4
) |
(
4
) |
Class A Common Stock |
(
4
) |
$
0 |
90,000 |
I |
By Adolf Family Trust II (
11
) |
Incentive Units in Focus Financial Partners, LLC |
$
12 (
3
) |
07/30/2018 |
|
A(
4
) |
|
470,000 |
|
(
4
) |
(
4
) |
Class A Common Stock |
(
4
) |
$
0 |
470,000 |
I |
By Adolf Family Trust II (
11
) |
Incentive Units in Focus Financial Partners, LLC |
$
23 (
3
) |
07/30/2018 |
|
A(
5
) |
|
100,000 |
|
(
8
) |
(
8
) |
Class A Common Stock |
(
5
) |
$
0 |
100,000 |
I |
By Adolf Family Trust II (
11
) |
|