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
|
Common Units in Focus Financial Partners, LLC
|
(
11
)
|
08/31/2023 |
|
F(
11
) |
|
|
10,811
|
(
11
) |
(
11
) |
Class A Common Stock, $0.01 par value
|
10,811
|
$
53
|
18,914
|
I
|
By James Shanahan 2020 Revocable Trust
(
13
)
|
Incentive Units in Focus Financial Partners, LLC
|
$
19
(
5
)
|
08/31/2023 |
|
J(
3
) |
|
|
90,000
|
(
7
) |
(
7
) |
Class A Common Stock, $0.01 par value
|
(
3
)
|
$
34
|
0
|
I
|
By James Shanahan 2020 Irrevocable Insurance Trust
(
14
)
|
Incentive Units in Focus Financial Partners, LLC
|
$
21
(
5
)
|
08/31/2023 |
|
J(
3
) |
|
|
29,375
|
(
7
) |
(
7
) |
Class A Common Stock, $0.01 par value
|
(
3
)
|
$
32
|
60,625
|
I
|
By James Shanahan 2020 Irrevocable Insurance Trust
(
14
)
|
Incentive Units in Focus Financial Partners, LLC
|
$
21
(
5
)
|
08/31/2023 |
|
M(
4
) |
|
|
60,625
|
(
7
) |
(
7
) |
Common Units in Focus Financial Partners, LLC
|
36,604
|
$
0
|
0
|
I
|
By James Shanahan 2020 Irrevocable Insurance Trust
(
14
)
|
Incentive Units in Focus Financial Partners, LLC
|
$
37.59
(
5
)
|
08/31/2023 |
|
M(
4
) |
|
|
33,240
|
(
8
) |
(
6
) |
Common Units in Focus Financial Partners, LLC
|
9,665
|
$
0
|
0
|
I
|
By James Shanahan 2020 Irrevocable Insurance Trust
(
14
)
|
Common Units in Focus Financial Partners, LLC
|
(
4
)
|
08/31/2023 |
|
M(
4
) |
|
46,269
|
|
(
4
) |
(
4
) |
Class A Common Stock, $0.01 par value
|
46,269
|
$
0
|
46,269
|
I
|
By James Shanahan 2020 Irrevocable Insurance Trust
(
14
)
|
Common Units in Focus Financial Partners, LLC
|
(
4
)
|
08/31/2023 |
|
M(
4
) |
|
|
46,269
|
(
4
) |
(
4
) |
Class A Common Stock, $0.01 par value
|
46,269
|
$
0
|
0
|
I
|
By James Shanahan 2020 Irrevocable Insurance Trust
(
14
)
|
Common Units in Focus Financial Partners, LLC
|
(
4
)
|
08/31/2023 |
|
M(
4
) |
|
|
18,914
|
(
11
) |
(
11
) |
Common Units in Focus Financial Partners, LLC
|
18,914
|
$
0
|
0
|
I
|
By James Shanahan 2020 Revocable Trust
(
13
)
|
Incentive Units in Focus Financial Partners, LLC
|
$
16
(
5
)
|
08/31/2023 |
|
M(
4
) |
|
|
11,739
|
(
7
) |
(
7
) |
Common Units in Focus Financial Partners, LLC
|
8,195
|
$
0
|
0
|
I
|
By James Shanahan 2020 Revocable Trust
(
13
)
|
Incentive Units in Focus Financial Partners, LLC
|
$
9
(
5
)
|
08/31/2023 |
|
M(
4
) |
|
|
181,277
|
(
7
) |
(
7
) |
Common Units in Focus Financial Partners, LLC
|
150,493
|
$
0
|
0
|
I
|
By James Shanahan 2020 Revocable Trust
(
13
)
|
Incentive Units in Focus Financial Partners, LLC
|
$
11
(
5
)
|
08/31/2023 |
|
M(
4
) |
|
|
140,000
|
(
7
) |
(
7
) |
Common Units in Focus Financial Partners, LLC
|
110,944
|
$
0
|
0
|
I
|
By James Shanahan 2020 Revocable Trust
(
13
)
|
Incentive Units in Focus Financial Partners, LLC
|
$
21
(
5
)
|
08/31/2023 |
|
M(
4
) |
|
|
386,284
|
(
7
) |
(
7
) |
Common Units in Focus Financial Partners, LLC
|
233,228
|
$
0
|
0
|
I
|
By James Shanahan 2020 Revocable Trust
(
13
)
|
Incentive Units in Focus Financial Partners, LLC
|
$
22
(
5
)
|
08/31/2023 |
|
M(
4
) |
|
|
167,405
|
(
7
) |
(
7
) |
Common Units in Focus Financial Partners, LLC
|
97,916
|
$
0
|
0
|
I
|
By James Shanahan 2020 Revocable Trust
(
13
)
|
Incentive Units in Focus Financial Partners, LLC
|
$
33
(
5
)
|
08/31/2023 |
|
M(
4
) |
|
|
315,016
|
(
6
) |
(
6
) |
Common Units in Focus Financial Partners, LLC
|
118,874
|
$
0
|
224,984
|
I
|
By James Shanahan 2020 Revocable Trust
(
13
)
|
Incentive Units in Focus Financial Partners, LLC
|
$
33
(
5
)
|
08/31/2023 |
|
D(
6
) |
|
|
224,984
|
(
6
) |
(
6
) |
Common Units in Focus Financial Partners, LLC
|
(
6
)
|
$
0
|
0
|
I
|
By James Shanahan 2020 Revocable Trust
(
13
)
|
Incentive Units in Focus Financial Partners, LLC
|
$
28.5
(
5
)
|
08/31/2023 |
|
M(
4
) |
|
|
162,806
|
(
7
) |
(
7
) |
Common Units in Focus Financial Partners, LLC
|
75,259
|
$
0
|
0
|
I
|
By James Shanahan 2020 Revocable Trust
(
13
)
|
Incentive Units in Focus Financial Partners, LLC
|
$
27.9
(
5
)
|
08/31/2023 |
|
M(
4
) |
|
|
179,405
|
(
9
) |
(
9
) |
Common Units in Focus Financial Partners, LLC
|
84,964
|
$
0
|
0
|
I
|
By James Shanahan 2020 Revocable Trust
(
13
)
|
Incentive Units in Focus Financial Partners, LLC
|
$
44.71
(
5
)
|
08/31/2023 |
|
M(
4
) |
|
|
55,501
|
(
10
) |
(
10
) |
Common Units in Focus Financial Partners, LLC
|
8,681
|
$
0
|
0
|
I
|
By James Shanahan 2020 Revocable Trust
(
13
)
|
Common Units in Focus Financial Partners, LLC
|
(
4
)
|
08/31/2023 |
|
M(
4
) |
|
888,554
|
|
(
4
) |
(
4
) |
Class A Common Stock, $0.01 par value
|
888,554
|
$
0
|
907,468
|
I
|
By James Shanahan 2020 Revocable Trust
(
13
)
|
Common Units in Focus Financial Partners, LLC
|
(
4
)
|
08/31/2023 |
|
M(
4
) |
|
|
907,468
|
(
4
) |
(
4
) |
Class A Common Stock, $0.01 par value
|
907,468
|
$
0
|
0
|
I
|
By James Shanahan 2020 Revocable Trust
(
13
)
|
Incentive Units in Focus Financial Partners, LLC
|
$
58.5
(
5
)
|
08/31/2023 |
|
D(
12
) |
|
|
65,605
|
(
12
) |
(
12
) |
Common Units in Focus Financial Partners, LLC
|
(
12
)
|
$
0
(
12
)
|
0
|
I
|
By James Shanahan 2020 Revocable Trust
(
13
)
|
|