Sec Form 4 Filing - Spartan Acquisition Sponsor II LLC @ Sunlight Financial Holdings Inc. - 2021-07-09

Insider filing report for Changes in Beneficial Ownership
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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
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Spartan Acquisition Sponsor II LLC
2. Issuer Name and Ticker or Trading Symbol
Sunlight Financial Holdings Inc. [ SUNL]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director X __ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
9 WEST 57TH STREET, 43RD FLOOR,
3. Date of Earliest Transaction (MM/DD/YY)
07/09/2021
(Street)
NEW YORK, NY10019
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
_____ Form filed by One Reporting Person
__ X __ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Class A Common Stock 07/09/2021 C 7,337,241 A 7,337,241 D ( 2 )
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
Class B Common Stock ( 4 ) 07/09/2021 J( 3 ) 1,187,759 ( 4 ) ( 4 ) Class A Common Stock 1,187,759 ( 3 ) 7,337,241 D ( 2 )
Class B Common Stock ( 1 ) 07/09/2021 C 7,337,241 ( 4 ) ( 4 ) Class A Common Stock 7,337,241 ( 1 ) 0 D ( 2 )
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Spartan Acquisition Sponsor II LLC
9 WEST 57TH STREET, 43RD FLOOR
NEW YORK, NY10019
X
AP Spartan Energy Holdings II, L.P.
9 WEST 57TH STREET, 43RD FLOOR
NEW YORK, NY10019
X
Apollo ANRP Advisors III, L.P.
C/O WALKERS CORPORATE LIMITED;
CAYMAN CORPORATE CENTRE; 27 HOSPITAL RD;
GEORGE TOWN, E9KY1-9008
X
Apollo ANRP Capital Management III, LLC
ONE MANHATTANVILLE ROAD, SUITE 201,
PURCHASE,, NY10577
X
APH Holdings, L.P.
ONE MANHATTANVILLE ROAD, SUITE 201,
PURCHASE,, NY10577
X
Apollo Principal Holdings III GP Ltd
C/O WALKERS CORPORATE LIMITED;
CAYMAN CORPORATE CENTRE; 27 HOSPITAL RD;
GEORGE TOWN, E9KY1-9008
X
Signatures
[See signatures attached as Exhibit 99.2] 07/13/2021
Signature of Reporting Person Date
Explanation of Responses:
( 1 )In connection with the closing of the business combination (the "business combination") among Spartan Acquisition Corp. II ("Spartan"), SL Invest I Inc., SL Invest II LLC, SL Financial Investor I LLC, SL Financial Investor II LLC, SL Financial Holdings Inc., SL Financial LLC, Sunlight Financial LLC, FTV-Sunlight, Inc. and Tiger Co-Invest B Sunlight Blocker, LLC, on July 9, 2021, shares of Class B Common Stock held of record by Spartan Acquisition Sponsor II LLC (the "Sponsor") automatically converted into shares of Spartan's Class A Common Stock on a one-for-one basis. Upon consummation of the business combination, Spartan changed its name to "Sunlight Financial Holdings Inc."
( 2 )See Exhibit 99.1.
( 3 )Immediately prior to the closing of the business combination, the Sponsor automatically and irrevocably surrendered and forfeited to Spartan, for no consideration and as a contribution to Spartan's capital, 1,187,759 shares of Class B Common Stock.
( 4 )The shares of Class B Common Stock were automatically convertible into shares of Class A Common Stock at the time of Spartan's initial business combination on a one-for-one basis and had no expiration date.

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