SEC Form SC 13G/A filed by MSP Recovery Inc. (Amendment)
MSP Recovery, Inc.
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(Name of Issuer)
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Class A Common Stock, par value $0.0001 per share
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(Title of Class of Securities)
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553745209
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(CUSIP Number)
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December 31, 2023
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(Date of Event which Requires Filing of this Statement)
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☒
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Rule 13d-1(b)
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☐
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Rule 13d-1(c)
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☐
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Rule 13d-1(d)
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CUSIP No. 553745209
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13G
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Page 2 of 10 Pages
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1
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NAMES OF REPORTING PERSONS
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Nomura Holdings, Inc.
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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(a)☐
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(b)☐
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3
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SEC USE ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
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Japan
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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5
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SOLE VOTING POWER
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0
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6
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SHARED VOTING POWER
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660,281 (1)
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7
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SOLE DISPOSITIVE POWER
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0
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8
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SHARED DISPOSITIVE POWER
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660,281 (1)
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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660,281
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10
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CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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☐
Not applicable
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
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4.4% (2)
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12
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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HC
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(1) |
Consists of (i) 7,281 shares of Class A Common Stock owned by Nomura Securities International, Inc. (“NSI”) and (ii) 653,000 shares of Class A Common Stock NSI has the right to acquire upon the exercise of warrants with an exercise price
of $11.50 per share and exercisable within 30 days after May 27, 2022 (the “Warrants”) beneficially owned as of December 31, 2023. NSI is a wholly owned subsidiary of Nomura Holdings, Inc., which accordingly may be deemed to beneficially
own the shares of Class A Common Stock beneficially owned by NSI.
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(2) |
The percent of class is calculated based on 14,415,930 shares of Class A Common Stock issued and outstanding as of November 27, 2023, as reported in the Issuer’s Registration Statement on Form S-1/A filed with the SEC on December 8,
2023, plus 653,000 shares of Class A Common Stock issuable upon the exercise of the Warrants, which have been added to the total Class A Common Stock outstanding in accordance with Rule 13d-3(d)(1)(i) under the Act.
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CUSIP No. 553745209
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13G
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Page 3 of 10 Pages
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1
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NAMES OF REPORTING PERSONS
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Nomura Securities International, Inc.
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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(a)☐
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(b)☐
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3
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SEC USE ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
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New York
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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5
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SOLE VOTING POWER
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0
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6
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SHARED VOTING POWER
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660,281
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7
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SOLE DISPOSITIVE POWER
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0
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8
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SHARED DISPOSITIVE POWER
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660,281
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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660,281
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10
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CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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☐
Not applicable
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
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4.4% (3)
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12
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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BD
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(3) |
Consists of (i) 7,281 shares of Class A Common Stock and (ii) 653,000 shares of Class A Common Stock the Reporting Person has the right to acquire upon the exercise of the Warrants.
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(4) |
The percent of class is calculated based on 14,415,930 shares of Class A Common Stock issued and outstanding as of November 27, 2023, as reported in the Issuer’s Registration Statement on Form S-1/A filed with the SEC on December 8,
2023, plus 653,000 shares of Class A Common Stock issuable upon the exercise of the Warrants, which have been added to the total Class A Common Stock outstanding in accordance with Rule 13d-3(d)(1)(i) under the Act.
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CUSIP No. 553745209
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13G
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Page 4 of 10 Pages
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Item 1.
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(a)
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Name of Issuer:
MSP Recovery, Inc. (the “Issuer”)
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(b)
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Address of Issuer's Principal Executive Offices:
2701 Le Jeune Road, Floor 10
Coral Gables, Florida 33134
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Item 2.
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(a)
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Name of Person(s) Filing:
Nomura Holdings, Inc.
Nomura Securities International, Inc.
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(b)
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Address of Principal Business Office or, if none, Residence:
Nomura Holdings, Inc.
13-1, Nihonbashi 1-chome, Chuo-ku, Tokyo 103-8645, Japan
Nomura Securities International, Inc.
Worldwide Plaza
309 West 49th Street
New York, NY 10019
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(c)
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Citizenship:
Nomura Holdings, Inc.
Japan
Nomura Securities International, Inc.
New York
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(d)
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Title of Class of Securities:
Class A Common Stock, par value $0.0001 per share (“Class A Common Stock”)
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(e)
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CUSIP Number:
553745209
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Item 3. |
If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
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(a)
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Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
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(b)
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Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
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(c)
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Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
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(d)
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Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).
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(e)
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An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
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(f)
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An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
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(g)
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A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
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(h)
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A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
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(i)
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A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
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(j)
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A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J);
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(k)
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Group, in accordance with § 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution: ___________________
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CUSIP No. 553745209
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13G
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Page 5 of 10 Pages
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Item 4. |
Ownership.
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Item 5. |
Ownership of Five Percent or Less of a Class.
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Item 6. |
Ownership of More than Five Percent on Behalf of Another Person.
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Item 7. |
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person.
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Item 8. |
Identification and Classification of Members of the Group.
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Item 9. |
Notice of Dissolution of Group.
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CUSIP No. 553745209
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13G
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Page 6 of 10 Pages
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Item 10. |
Certification.
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CUSIP No. 553745209
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13G
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Page 7 of 10 Pages
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Nomura Holdings, Inc.
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/s/ Samir Patel
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Name: Samir Patel
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Title: Managing Director
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Nomura Securities International, Inc.
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/s/ Fernando Del Puerto
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Name: Fernando Del Puerto
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Title: Managing Director
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CUSIP No. 553745209
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13G
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Page 8 of 10 Pages
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Exhibit
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Exhibit
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A
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Joint Filing Agreement
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B
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Subsidiaries
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CUSIP No. 553745209
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13G
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Page 9 of 10 Pages
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Nomura Holdings, Inc.
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/s/ Samir Patel
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Name: Samir Patel
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Title: Managing Director
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Nomura Securities International, Inc.
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/s/ Fernando Del Puerto
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Name: Fernando Del Puerto
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Title: Managing Director
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CUSIP No. 553745209
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13G
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Page 10 of 10 Pages
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