FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 09/01/2023 |
3. Issuer Name and Ticker or Trading Symbol
Thryv Holdings, Inc. [ THRY ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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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) |
Common Stock | 13,014 | D | |
Common Stock | 47,419(1) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: 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 | ||||
Stock Option (right to buy) | (2) | 11/18/2029 | Common Stock | 55,556(2) | $13.82 | D | |
Stock Option (right to buy) | (3) | 12/11/2030 | Common Stock | 20,000(3) | $10.35 | D |
Explanation of Responses: |
1. These restricted stock units were granted under the Issuer's 2020 Incentive Award Plan. Of the 47,419 restricted stock units reported, (i) 15,651 were granted on May 3, 2022 and will vest in two remaining equal annual installments in January 2024 and January 2025, and (ii) 31,768 were granted on January 5, 2023 and will vest in three equal annual installments beginning in January 2024. |
2. Represents Stock Options awarded on November 18, 2019 under the Issuer's 2016 Stock Incentive Plan, all of which have vested. |
3. Represents Stock Options awarded on December 11, 2020 under the Issuer's 2020 Incentive Award Plan, of which have 13,333 vested, and the remaining 6,667 will vest in December 2023. |
Remarks: |
Please refer to Exhibit 24.1-Power of Attorney |
/s/ Meredith Kennedy, Attorney-in-Fact | 09/01/2023 | |
** 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 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 Number. |