SEC Form 4
FORM 4 | 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 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol SelectQuote, Inc. [ SLQT ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
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3. Date of Earliest Transaction (Month/Day/Year) 07/08/2020 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 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 | ||||||
Common Stock, par value $0.01 per share | 1,638,373 | D | ||||||||
Common Stock, par value $0.01 per share | 07/08/2020 | J(1) | 10,681 | A | $0.00 | 10,681(1)(2) | I | By Mainstar Trust IRA | ||
Common Stock, par value $0.01 per share | 07/08/2020 | J(1) | 7,120 | A | $0.00 | 463,639(1)(3) | I | By Haakon Capital, LLC | ||
Common Stock, par value $0.01 per share | 1,440,000(4) | I | By Self as Trustee for the W. Thomas Grant III Irrevocable Trust |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 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 (Month/Day/Year) | 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: 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 |
Explanation of Responses: |
1. Pro-rata liquidating distribution from Five Elms Equity Fund I LP, an investment company of which Mr. Grant was a non-managing member and in which Mr. Grant's IRA previously owned a 0.38% ownership stake and Haakon Capital, LLC, an investment company in which Mr. Grant owns a 33.3% ownership stake, previously owned a 0.76% ownership stake. In prior reports, Mr. Grant reported indirect beneficial ownership of 23,395 shares of SelectQuote, Inc. common stock held by Five Elms Equity Fund I LP. After deducting carried interest paid to the general partner of Five Elms Equity Fund I LP, Mr. Grant's IRA received 10,681 shares of SelectQuote, Inc. common stock in connection with the distribution and Haakon Capital, LLC received 21,361 shares of SelectQuote, Inc. common stock in connection with the distribution, of which 7,120 are indirectly beneficially owned by Mr. Grant through his interest in Haakon Capital, LLC. |
2. Beneficially owned by Mr. Grant through his Mainstar Trust IRA. |
3. Beneficially owned by Mr. Grant through Haakon Capital, LLC, an investment company in which Mr. Grant owns a 33.3% ownership stake. Mr. Grant disclaims beneficial ownership of the shares held by Haakon Capital, LLC, except to the extent of his pecuniary interest therein. |
4. Beneficially owned by Mr. Grant as the trustee of the W. Thomas Grant III Irrevocable Trust. |
Remarks: |
/s/ Daniel A. Boulware, Attorney in Fact | 07/09/2020 | |
** 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). | ||
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 Number. |