Initial Statement of Beneficial Ownership (3)
February 20 2020 - 05:08PM
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
*
Downs Michael J |
2. Date of Event Requiring Statement (MM/DD/YYYY)
2/13/2020
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3. Issuer Name and Ticker or Trading Symbol
Falcon Minerals Corp [FLMN]
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(Last)
(First)
(Middle)
510 MADISON AVENUE, 8TH FLOOR |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Chief Operating Officer / |
(Street)
NEW YORK, NY 10022
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ 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 | 57842 (1) | D | |
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 |
Warrants to Purchase Common Stock | 9/22/2018 | 8/23/2023 | Class A Common Stock | 48387 | $11.50 | D | |
Performance Stock Unit | (2) | 8/23/2025 | Class A Common Stock | 60000 | (2) | D | |
Explanation of Responses: |
(1) | 22,500 of these shares remain subject to vesting. |
(2) | The Reporting Person is a participant in the Issuer's 2018 Long Term Incentive Plan. This award time-vests in full on August 23, 2021 and performance-vests upon the Issuer's stock achieving certain market price points. Upon vesting, the Reporting Person shall receive a corresponding number of shares of Class A common stock or, in the sole discretion of the Issuer's Compensation Committee, an amount in cash equal to the fair market value of the shares of Class A common stock otherwise deliverable. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Downs Michael J 510 MADISON AVENUE 8TH FLOOR NEW YORK, NY 10022 |
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| Chief Operating Officer |
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Signatures
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/s/Jeffrey S. Brotman, attorney-in-fact | | 2/20/2019 |
**Signature of Reporting Person | Date |
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