Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
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CUSIP No: 46131B100
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
(Rule 13d-102)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED
PURSUANT TO § 240.13d-2.
(Amendment No. 1)*
Invesco Mortgage Capital Inc.
(Name of Issuer)
Common Stock, $0.01 par value per share
(Title of Class of Securities)
46131B100
(CUSIP Number)
December 31, 2021
(Date of Event Which Requires Filing of this statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
x Rule 13d-1(b)
¨ Rule 13d-1(c)
¨ Rule 13d-1(d)
*The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
CUSIP No: 46131B100
| (1) | Names of Reporting Persons Susquehanna Securities, LLC |
||||
| (2) | Check the Appropriate Box if a Member of a Group (See Instructions) | ||||
| (a) | ¨ | ||||
| (b) | ¨ | ||||
| (3) | SEC Use Only | ||||
| (4) | Citizenship or Place of Organization Delaware |
||||
| Number of Shares Beneficially Owned by Each Reporting Person With |
(5) | Sole Voting Power 11,291,227 (1) | |||
| (6) | Shared Voting Power 11,298,898 (1) | ||||
| (7) | Sole Dispositive Power 11,291,227 (1) | ||||
| (8) | Shared Dispositive Power 11,298,898 (1) | ||||
| (9) | Aggregate Amount Beneficially Owned by Each Reporting Person 11,298,898 (1) |
||||
| (10) | Check box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ¨ | ||||
| (11) | Percent of Class Represented by Amount in Row (9) 3.6% |
||||
| (12) | Type of Reporting Person (See Instructions) BD, OO |
||||
(1) G1 Execution Services, LLC and Susquehanna Securities, LLC are affiliated independent broker-dealers which may be deemed a group. For purposes of this report, we have indicated that each reporting person has sole voting and dispositive power with respect to the shares beneficially owned by it and that the reporting persons have shared voting and dispositive power with respect to all shares beneficially owned by all of the reporting persons. Each of the reporting persons disclaims beneficial ownership of shares owned directly by another reporting person.
CUSIP No: 46131B100
| (1) | Names of Reporting Persons G1 Execution Services, LLC |
||||
| (2) | Check the Appropriate Box if a Member of a Group (See Instructions) | ||||
| (a) | ¨ | ||||
| (b) | ¨ | ||||
| (3) | SEC Use Only | ||||
| (4) | Citizenship or Place of Organization Illinois |
||||
| Number of Shares Beneficially Owned by Each Reporting Person With |
(5) | Sole Voting Power 7,671 (1) | |||
| (6) | Shared Voting Power 11,298,898 (1) | ||||
| (7) | Sole Dispositive Power 7,671 (1) | ||||
| (8) | Shared Dispositive Power 11,298,898 (1) | ||||
| (9) | Aggregate Amount Beneficially Owned by Each Reporting Person 11,298,898 (1) |
||||
| (10) | Check box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ¨ | ||||
| (11) | Percent of Class Represented by Amount in Row (9) 3.6% |
||||
| (12) | Type of Reporting Person (See Instructions) BD, OO |
||||
(1) G1 Execution Services, LLC and Susquehanna Securities, LLC are affiliated independent broker-dealers which may be deemed a group. For purposes of this report, we have indicated that each reporting person has sole voting and dispositive power with respect to the shares beneficially owned by it and that the reporting persons have shared voting and dispositive power with respect to all shares beneficially owned by all of the reporting persons. Each of the reporting persons disclaims beneficial ownership of shares owned directly by another reporting person.
CUSIP No: 46131B100
Item 1.
(a) Name of Issuer
Invesco Mortgage Capital Inc. (the “Company”)
(b) Address of Issuer’s Principal Executive Offices
1555 Peachtree Street N.E.
Suite 1800
Atlanta, Georgia 30309
Item 2(a). Name of Person Filing
This statement is filed by the entities listed below, who are collectively referred to herein as “Reporting Persons,” with respect to the shares of Common Stock of the Company, $0.01 par value per share (the “Shares”).
| (i) | Susquehanna Securities, LLC | |
| (ii) | G1 Execution Services, LLC |
Item 2(b). Address of Principal Business Office or, if none, Residence
The address of the principal business office of Susquehanna Securities, LLC is:
401 E. City Avenue
Suite 220
Bala Cynwyd, PA 19004
The address of the principal business office of G1 Execution Services, LLC is:
175 W. Jackson Blvd.
Suite 1700
Chicago, IL 60604
Item 2(c). Citizenship
Citizenship is set forth in Row 4 of the cover page for each Reporting Person hereto and is incorporated herein by reference for each such Reporting Person.
Item 2(d) Title of Class of Securities
Common Stock, $0.01 par value per share
Item 2(e) CUSIP Number
46131B100
| 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: |
(a) x Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o).
(b) ¨ Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c).
(c) ¨ Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c).
(d) ¨ Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).
(e) ¨ An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
CUSIP No: 46131B100
(f) ¨ An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
(g) ¨ A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);
(h) ¨ A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
(i) ¨ 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);
(j) ¨ A non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J);
(k) ¨ Group, in accordance with Rule 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: ________________
Item 4. Ownership
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
The information required by Items 4(a) - (c) is set forth in Rows 5 - 11 of the cover page for each Reporting Person hereto and is incorporated herein by reference for each such Reporting Person.
The number of Shares reported as beneficially owned by Susquehanna Securities includes options to buy 7,284,500 Shares.
The Company’s Quarterly Report on Form 10-Q, filed on November 3, 2021, indicates there were 311,740,760 Shares outstanding as of October 31, 2021.
Item 5. Ownership of Five Percent or Less of a Class
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following: x
Item 6. Ownership of More than Five Percent on Behalf of Another Person
Not applicable.
Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person
Not applicable.
Item 8. Identification and Classification of Members of the Group
Not applicable.
Item 9. Notice of Dissolution of Group
Not applicable.
Item 10. Certification
By signing below each of the undersigned certifies that, to the best of its knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
CUSIP No: 46131B100
SIGNATURES
After reasonable inquiry and to the best of its knowledge and belief, each of the undersigned certifies that the information with respect to it set forth in this statement is true, complete, and correct.
Dated: February 11, 2022
| SUSQUEHANNA SECURITIES, LLC | ||
| By: | /s/ Brian Sopinsky | |
| Name: Brian Sopinsky | ||
| Title: Secretary | ||
| G1 EXECUTION SERVICES, LLC | ||
| By: | /s/ Brian Sopinsky | |
| Name: Brian Sopinsky | ||
| Title: Secretary | ||
CUSIP No: 46131B100
EXHIBIT INDEX
| EXHIBIT | DESCRIPTION | |
| I |
Joint Filing Agreement*
* Previously filed |