Create Alert
Sign Up
Sign In
Sign In
Sign Up
Contact Us
Careers
Terms and Conditions
Privacy
About Us
Home
Livefeed
Market Data
Companies
Filings
Ownership Search
Mutual Fund Search
Watchlist
My Watchlist
Create Alerts to view your Watchlist
Live Feed
Feed to the latest filings at the SEC
Type of Filers
All
Mutual Funds
Mutual 3 & ETFs
Mutual 2 & ETFs
Variable Insurance Products
Variable Insurance 1
Variable Insurance 3
Variable Insurance 4
Type of Forms
All
Annual Reports
10-K
10-K/A
18-K
20-F
20-F/A
24F-2NT
24F-2NT/A
40FR12B
MA/A
MA-I
MA-I/A
N-CSR
NSAR-B
NSAR-B/A
NT 10-K
TA-2/A
Quarterly Reports
10-Q
10-Q/A
N-Q
Proxy Statements
DEF 14 A
DEF 14C
DEFA14A
DEFC14A
DEFM14A
DFAN14A
N-PX/A
PRE 14 A
PRE 14C
PREC14A
PREM14A
PRER14A
PRRN14A
PX14A6G
Prospectus
425
POS AM
Current-Reports
8-K
8-K/A
Registrations
10-12B
10-12B/A
10-12G
10-12G/A
18-12B
18-12B/A
18-12G
18-12G/A
20FR12B
20FR12B/A
20FR12G
20FR12G/A
24F-2NT
24F-2NT/A
424A
424B1
424B2
424B3
424B4
424B5
424B7
485A24E
485BPOS
486BPOS
487
8-A12B
8-A12B/A
18-12G/A
8-A12G
8-A12G/A
DEL AM
F-1
F-1/A
F-1MEF
F-3
F-3/A
F-3DPOS
F-4
F-4/A
F-6
F-6/A
F-6 POS
N-1
N-14
N-14/A
N-1A
N-1/A
N-1A/A
N-2
N-2MEF
N-3
N-3/A
N-4
N-4/A
N-5
N-54A
N-54A/A
N-5/A
N-8A
N-8A/A
N-8B-2
N-8B-2/A
N-8B-4
N-8B-4/A
POS462B
POS462C
POS 8C
POS AM
POS AMI
POS EX
S-11
S-11/A
S-11MEF
S-1/A
S-1MEF
S-20
S-20/A
S-3
S-3/A
S-3D
S-3DPOS
S-3MEF
S-4EF
S-4MEF
S-4 POS
S-6
S-6/A
S-8
S-8 POS
Date Range
All
One Day Prior
Two Day Prior
Three Day Prior
ONCOLOGY INSTITUTE, INC.
Date Filed :
Nov 22, 2021
View Exhibits
SEC FORM 3
SEC Form 3
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
OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response:
0.5
1. Name and Address of Reporting Person
*
Havencrest Healthcare Partners, L.P.
(Last)
(First)
(Middle)
2100 MCKINNEY AVE, SUITE 1760
(Street)
DALLAS
TX
75201
(City)
(State)
(Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
11/12/2021
3. Issuer Name
and
Ticker or Trading Symbol
Oncology Institute, Inc.
[
TOI
]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director
X
10% Owner
Officer (give title below)
Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
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
(1)
15,662,794
I
See footnote
(2)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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
Earnout Shares (Common Stock)
(3)
(3)
Common Stock
1,330,071
(3)
I
See footnote
(2)
Earnout Shares (Common Stock)
(4)
(4)
Common Stock
1,995,106
(4)
I
See footnote
(2)
1. Name and Address of Reporting Person
*
Havencrest Healthcare Partners, L.P.
(Last)
(First)
(Middle)
2100 MCKINNEY AVE, SUITE 1760
(Street)
DALLAS
TX
75201
(City)
(State)
(Zip)
1. Name and Address of Reporting Person
*
Havencrest Healthcare Partners GP, LLC
(Last)
(First)
(Middle)
2100 MCKINNEY AVE, SUITE 1760
(Street)
DALLAS
TX
75201
(City)
(State)
(Zip)
1. Name and Address of Reporting Person
*
TOI HC I, LLC
(Last)
(First)
(Middle)
2100 MCKINNEY AVE, SUITE 1760
(Street)
DALLAS
TX
75201
(City)
(State)
(Zip)
Explanation of Responses:
1. Received on November 12, 2021, as consideration pursuant to that certain Agreement and Plan of Merger ("Merger Agreement"), dated as June 28, 2021, by and among DFP Healthcare Acqusitions Corp. (the "Issuer"), Orion Merger Sub I, Inc., Orion Merger Sub II, LLC, and TOI Parent, Inc. (such transactions therein, collectively, the "Business Combination").
2. TOI HC I, LLC is the record holder of these shares. Havencrest Healthcare Partners, L.P. may be deemed to have beneficial ownership of the shares directly held by TOI HC I, LLC. Havencrest Healthcare Partners GP, LLC controls Havencrest Healthcare Partners, L.P. Each reporting person disclaims beneficial ownership of the reported securities except to the extent of such reporting person's pecuniary interest therein.
3. Received as part of the consideration in the Business Combination. Represents the right to receive shares of common stock (i) in the event the Issuer's stock price equals or exceeds (x) $12.50 per share for 20 days within any 30 consecutive trading days during the two-year period following the closing of the Business Combination, or (y) $15.00 per share for any 20 trading days within any 30-day trading period during the three-year period following the closing of the Business Combination, or (ii) in the event of a qualifying change of control.
4. Received as part of the consideration in the Business Combination. Represents the right to receive shares of common stock (i) in the event the Issuer's stock price equals or exceeds $15.00 per share for any 20 trading days within any 30-day trading period during the three-year period following the closing of the Business Combination, or (ii) in the event of a qualifying change of control.
Remarks:
/s/ Havencrest Healthcare Partners, L.P., by Christopher W. Kersey as Manager and President of Havencrest Healthcare Partners GP, LLC
11/22/2021
/s/ Havencrest Healthcare Partners GP, LLC, by Christopher W. Kersey as Manager and President
11/22/2021
/s/ TOI HC I, LLC, by Christopher W. Kersey as Manager
11/22/2021
** 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.
Stock View
Indices
by TradingView