FORM 4
☒
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
☐ Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10. |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 |
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1. Name and Address of Reporting Person * Shanahan James | 2. Issuer Name and Ticker or Trading Symbol Focus Financial Partners Inc. [ FOCS ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Financial Officer |
3. Date of Earliest Transaction
(MM/DD/YYYY)
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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 | |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
1.Title of Security (Instr. 3) | 2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. 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, $0.01 par value | 8/31/2023 | M(4) | 46,269 | A | (4) | 46,269 | I | By James Shanahan 2020 Irrevocable Insurance Trust (14) | ||
Class A Common Stock, $0.01 par value | 8/31/2023 | D(1)(2) | 46,269 | D | $53 (1)(2) | 0 | I | By James Shanahan 2020 Irrevocable Insurance Trust (14) | ||
Class A Common Stock, $0.01 par value | 8/31/2023 | M(4) | 907,468 | A | (4) | 907,468 | I | By James Shanahan 2020 Revocable Trust (13) | ||
Class A Common Stock, $0.01 par value | 8/31/2023 | D(1)(2) | 907,468 | D | $53 (1)(2) | 0 | I | By James Shanahan 2020 Revocable Trust (13) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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 | ||||||||
Common Units in Focus Financial Partners, LLC | (11) | 8/31/2023 | 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) | 8/31/2023 | 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) | 8/31/2023 | 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) | 8/31/2023 | 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) | 8/31/2023 | 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) | 8/31/2023 | 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) | 8/31/2023 | 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) | 8/31/2023 | 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) | 8/31/2023 | 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) | 8/31/2023 | 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) | 8/31/2023 | 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) | 8/31/2023 | 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) | 8/31/2023 | 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) | 8/31/2023 | 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) | 8/31/2023 | 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) | 8/31/2023 | 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) | 8/31/2023 | 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) | 8/31/2023 | 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) | 8/31/2023 | 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) | 8/31/2023 | 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) | 8/31/2023 | 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) |
Reporting Owners | |||||
Reporting Owner Name / Address | |||||
Director | 10% Owner | Officer | Other | ||
Shanahan James 875 THIRD AVENUE, 28TH FLOOR NEW YORK, NY 10022 | Chief Financial Officer |
Signatures | ||
/s/ J. Russell McGranahan as Attorney-in-Fact | 9/1/2023 | |
**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). |
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