Amended Statement of Beneficial Ownership (3/a)
26 Julho 2022 - 4:47PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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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NOMURA SECURITIES INTERNATIONAL INC |
2. Date of Event Requiring Statement (MM/DD/YYYY)
5/27/2022
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3. Issuer Name and Ticker or Trading Symbol
MSP Recovery, Inc. [MSPR]
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(Last)
(First)
(Middle)
WORLDWIDE PLAZA, 309 WEST 49TH STREET |
4. 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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(Street)
NEW YORK, NY 10019
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY) 7/14/2022
| 6. Individual or Joint/Group Filing(Check Applicable Line)
___ Form filed by One Reporting Person
_X_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Class A Common Stock | 303869 (3) | D (1) | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Warrant (right to buy) | 6/2/2022 (3) | 5/23/2027 (2) | Class A Common Stock | 277500 | $0.0001 | D (1) | |
Explanation of Responses: |
(1) | These securities are owned by Nomura Securities International, Inc. ("NSI"). NSI is a wholly owned indirect subsidiary of Nomura Holdings, Inc. which accordingly may be deemed to beneficially own the shares owned by NSI. |
(2) | Unless earlier redeemed by the Issuer. |
(3) | This Form 3 amendment is being filed to (1) correct the number of shares of Class A Common Stock beneficially owned by the Reporting Persons, by adding 164,999 shares that were inadvertently omitted from the original Form 3, and (2) correct the Date Exercisable for the reported Warrants with a $0.0001 strike price. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
NOMURA SECURITIES INTERNATIONAL INC WORLDWIDE PLAZA 309 WEST 49TH STREET NEW YORK, NY 10019 |
| X |
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NOMURA HOLDINGS INC 9-1 NIHONBASHI 1-CHOME CHUO-KU TOKYO, M0 103-8645 |
| X |
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Signatures
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Nomura Securities International, Inc. /s/ Fernando Del Puerto, Managing Director | | 7/26/2022 |
**Signature of Reporting Person | Date |
Nomura Holdings, Inc. /s/ Samir Patel, Managing Director | | 7/26/2022 |
**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 5(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). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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