New insider La Rosa Deana claimed ownership of 5,837,713 shares and claimed ownership of 2,000 units of Series X Super Voting Preferred Stock (SEC Form 3)
$LRHC
Real Estate
Finance
| 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) 02/01/2024 |
3. Issuer Name and Ticker or Trading Symbol
La Rosa Holdings Corp. [ LRHC ] |
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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 | 5,837,428 | I | By spouse(2) |
| Common Stock | 285 | I | By spouse(3) |
| Series X Super Voting Preferred Stock | 2,000 | I | By spouse(2) |
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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) | 02/01/2024 | 02/01/2034 | Common Stock | 300,000(1) | $1.7332 | D | |
| Warrant to Purchase Common Stock | 12/02/2022 | 12/02/2027 | Common Stock | 50,000 | $5 | I | By spouse(4) |
| Stock Option (Right to Buy) | 12/07/2023 | 12/07/2033 | Common Stock | 900,000 | $2.09 | I | By spouse(5) |
| Stock Option (Right to Buy) | 01/02/2024 | 01/02/2034 | Common Stock | 800,000 | $1.5001 | I | By spouse(5) |
| Stock Option (Right to Buy) | 02/01/2024 | 02/01/2034 | Common Stock | 134,065 | $1.7332 | I | By spouse(5) |
| Explanation of Responses: |
| 1. Non-qualified stock option granted on February 1, 2024 pursuant to the employment agreement between Deana La Rosa and the Issuer, dated January 31, 2024 and effective February 1, 2024, 100% vested on the date of the grant. |
| 2. Represents the shares of common stock of the Issuer that are directly owned by Ms. La Rosa's spouse, Joseph La Rosa, the Chief Executive Officer and Director of the Board of the Issuer. Mr. La Rosa's direct ownership of these shares was previously reported on Forms 3 and 4. |
| 3. Represents the shares of common stock of the Issuer, that are indirectly owned by Ms. La Rosa's spouse, Joseph La Rosa, the Chief Executive Officer and Director of the Board of the Issuer. Mr. La Rosa's indirect ownership of these shares was previously reported on Form 3. |
| 4. Represents the warrant, that is directly owned by Ms. La Rosa's spouse, Joseph La Rosa, the Chief Executive Officer and Director of the Board of the Issuer. Mr. La Rosa's direct ownership of the warrant was previously reported on Form 3. |
| 5. Represents the non-qualified stock options, that are directly owned by Ms. La Rosa's spouse, Joseph La Rosa, the Chief Executive Officer and Director of the Board of the Issuer. Mr. La Rosa's direct ownership of the options was previously reported on Form 4. |
| /s/ Deana La Rosa | 02/01/2024 | |
| ** 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. | ||